Streamlining The SOC 2 Audit Process in 10 Steps

When clients approach audit firms regarding the SOC 2 Attestation process, they often find it daunting and overwhelming. SOC 2 audit firms should strive to simplify the process and instill confidence in their clients. Unfortunately, clients are often uninformed about the complexities of the SOC 2 auditing process.

At Johanson Group, LLC, we do things differently. 

We believe in collaborating with our clients rather than excluding them. We ensure that our clients comprehend every step of the procedure, know their current position, and know the subsequent step to guarantee an effortless process and audit.

To provide clarity and simplicity, we have outlined the step-by-step process that our clients follow with Johanson Group.

Step 1: Sales Call 

Meet with a sales team member to see if Johanson Group's services, approach, and price fit your needs. You can book a meeting with them here.

Step 2: Partner with Johanson Group by signing a Statement of Work

Once your organization has decided to move forward with Johanson Group, the next step in the SOC 2 audit process is the Statement of Work (SOW). We will send the SOW. Once signed, we are ready to start the process of your SOC 2 compliance audit. If your organization would like a letter of engagement to share with your customers, we would happily provide one.

Step 3: Kick-off call  

The next step in your SOC 2 audit process is the kick-off call. A member of our customer success team will reach out to you to arrange a kick-off meeting where we can delve into the audit process in greater depth.

During this meeting, they will be more than happy to address any questions or concerns you might have and establish a cadence for follow-up communications.

Step 4: Prepare your organization for the SOC 2 compliance audit internally

In this phase of the SOC 2 audit process, you will be working on configuring the platforms you use for data security or other information systems software. 

Your main tasks in this step involve:

• Integrating these systems

• Creating policies

• Identifying and implementing controls to ensure data security

If you have any questions or need assistance during this process, don't hesitate to contact your Customer Success Manager (CSM).

After setting everything up, your primary focus should be ensuring that your organization adheres to the established policies and controls to achieve compliance. Please let your CSM know when you want to start the audit. Setting up your controls can take anywhere from 14 days to 3-4 months; ultimately, it's at your own pace, but our team is always on hand to support you in your SOC 2 goals and journey.

Step 5: The SOC 2 Audit Process Begins 

After finishing all the setup and putting the controls in place, your organization will start the audit period. During this time, you must monitor the controls to ensure they are within the time limits your organization has set (called SLAs). f you are using a readiness platform, we recommend logging in to your platform every day to check for any new issues that might arise.

The shortest audit period for a SOC 2 Type II is three (3) months, while the subsequent audit periods afterwards usually last twelve (12) months.

READ MORE: SOC 2 Frequency: What You Should Know

Step 6: Audit period ends/ audit work begins

Once the audit period is over, Johanson Group will begin our audit procedures. Our team will access the platform or provide evidence and promptly download all policies and evidence required. We will check if controls are working well and then review them to ensure they worked well throughout the audit.

Step 6 is mandatory and typically takes approximately 2-3 weeks.

Step 7: Follow-up

After our review process, we may contact you with follow-up questions or requests for additional evidence.

Receiving a notification like this doesn't necessarily indicate failure on your part; perhaps certain items need to be correctly uploaded onto the platform or provided to the audit team.

You can upload the evidence again on the platform or send it directly to us if necessary.

Usually, this process takes less than a week, but the exact timeframe may be affected by how quickly you respond.

Step 8: Our team will draft your SOC 2 audit report

Once you have answered all questions and Johanson Group has reviewed the additional evidence, we will send you a draft report for your review. You must thoroughly read the report to verify that all dates and trust service categories are accurate and there are no surprises.

Drafting the report usually takes 1-2 days. Your review of the draft report occurs at your own pace. 

Step 9: Sign the Management Assertion and Representation Letters

In this step of the SOC 2 audit process, once you have approved the draft, we will send over the Management Assertion and Representation letters for signature via DocuSign. These documents confirm that the management effectively designed and implemented controls that continued to operate efficiently during the audit period.

Step 10: You will receive the Final SOC 2 Audit report

Once the management assertion and representation letters are signed, Johanson Group will do one final review before sending over the report. This process usually takes 3-5 days.

Johanson Group’s Transparent SOC 2 Audit Process

Navigating the SOC 2 audit process can be daunting for many organizations, often needing more communication from audit firms to make sure they are going in the right direction.  At Johanson Group, we are committed to changing this narrative and empowering our clients to understand each step along their SOC 2 journey clearly.

From the initial sales call to the final report, we prioritize transparency and seamless communication to ensure a smooth and successful audit. Our dedicated customer success team will guide you through the setup phase, ensuring your policies and controls are in place and making sure you are in a good position prior to starting the audit period.

Throughout the audit period, we will support you, ensuring timely resolution of any questions that may arise. From start to finish, our process is designed to help produce a report that aligns with your expectations and validates all your hard work and security posture. 

With Johanson Group, you can confidently provide Management Assertion and Representation letters, affirming the suitability and effectiveness of your controls throughout the audit period. Finally, you can confidently share your SOC 2 report with current and prospective clients to let them know of your dedication to keeping you and their data secure. .

Make your SOC 2 journey a seamless one with Johanson Group by your side. Let's get started on securing your business today!