Engaging with Auditors: Best Practices & Guidelines

How to Prepare, Communicate, and Succeed Throughout the Audit Process

Introduction & Purpose

Engaging with third-party auditors is a critical step in achieving certifications such as SOC 2, ISO 27001, or HITRUST. While Trustero helps organizations prepare for audits through compliance automation, it is the customer’s responsibility to select and manage their own auditor based on what best fits their needs.

This guide provides best practices for engaging with auditors (before, during, and after the audit) and offers practical advice to ensure a smooth, effective audit experience.

Key Concept & Context

Trustero enables organizations to centralize evidence, document control responsibilities, and align compliance activities with framework requirements. Trustero does not require or mandate the use of any specific auditor. Customers are encouraged to select an auditor that aligns with their goals, preferences, and compliance objectives.

Some audit firms may be familiar with the Trustero platform, and in certain cases, we may introduce or recommend firms based on customer interest or alignment with specific frameworks. These relationships range from informal familiarity to formal contracts. However, the decision and responsibility for engaging an auditor always remains with the customer.

When choosing an auditor, organizations should evaluate factors such as methodology, communication style, and the auditor’s ability to work with structured evidence systems like Trustero. Aligning expectations early reduces audit friction and supports a more efficient, productive engagement.

Practical Guidance

A. Selecting and Engaging with an Auditor

When your organization selects an auditor, it’s important to choose a firm whose capabilities and engagement style align with your compliance goals. Audit firms vary in size, structure, and areas of expertise. Some may already be familiar with the Trustero platform, which can help improve alignment and efficiency during the audit process, but platform familiarity should be just one of many considerations.

When evaluating an auditor, consider:

• Their experience with your target framework (e.g., SOC 2, ISO 27001, HITRUST)
• Their ability to work with automated compliance platforms like Trustero
• Their approach to communication, evidence validation, and reporting timelines
• Their flexibility in adapting to your organization’s internal review and control cadence

Tip: During early conversations, ask prospective auditors how they handle walkthroughs, testing timelines, evidence observation windows, and scope changes. These insights will help you assess fit and determine how smoothly they will integrate into your broader compliance program.

B. Preparing for the Audit

Upload all relevant policies, procedures, and evidence into Trustero before your audit begins. This ensures the auditor has access to organized, clearly mapped data aligned with your control framework.

• Confirm that the evidence supports your defined scope and mapped controls.
• Pay close attention to evidence dates—all artifacts must fall within the designated audit observation window.

For example, a screenshot proving a patch was applied should clearly show both the version and a date that falls within the applicable audit period. Submitting outdated evidence may delay validation or result in findings.

C. Managing Evidence and Document Requests

• Respond promptly to requests from your auditor. Use Trustero to upload the requested documentation and mark the request as Ready.

• If additional time is needed, acknowledge the request and provide a realistic delivery timeline.

• Trustero automatically notifies all relevant parties, including request owners, auditors, and watchers, when request statuses change.

Tip: Always manage request fulfillment directly in the Trustero platform to maintain a clean audit trail and centralized visibility. This reduces communication gaps and improves accountability.

D. Audit Engagement Best Practices

• Stay focused
  Only respond to what the auditor is asking for. Avoid sharing out-of-scope materials that may introduce confusion or create unnecessary scrutiny.
• Be transparent
  If a policy exception or deviation exists, acknowledge it directly and explain how it is handled. Refer to the KB Article – Managing Policy Deviations.
• Communicate proactively
  Maintain steady, professional communication throughout the audit. Provide status updates, clarify timing, and ask questions early to prevent delays later.
• Use walkthroughs strategically
  Use live sessions with auditors to demonstrate control effectiveness and clarify processes that may not be obvious from documentation alone, especially when describing technical environments or custom workflows.

Best Practices for a Smooth Audit Experience

Conclusion

How you engage with your auditor has a direct impact on audit outcomes and your organization’s perceived maturity. From scope definition to document delivery and walkthroughs, consistent, well-managed engagement builds trust and helps avoid unnecessary findings.

Trustero supports this process by acting as your compliance system of record, streamlining evidence delivery, request tracking, and control validation. Whether you work with an auditor who is familiar with Trustero or one you select independently, treating the audit as a structured partnership, and using the platform to its full potential, sets the stage for success and long-term program improvement.