AuditBoard Implementation Guide for SOC 2 Compliance

We've helped multiple mid-market and enterprise clients implement AuditBoard for SOC 2, and the experience is fundamentally different from deploying startup-focused platforms like Vanta or Drata. AuditBoard is an enterprise-grade GRC platform that approaches SOC 2 compliance from an audit management and risk perspective rather than a rapid-setup automation approach. It is designed for organizations that need to manage SOC 2 alongside other compliance frameworks, internal audit programs, and enterprise risk management — making it a strong fit for companies with mature compliance needs. Implementing AuditBoard for SOC 2 requires a different approach because the platform's power comes from its configurability and cross-framework capabilities, which also mean more setup decisions and customization during implementation.

This guide covers workspace and program setup, SOC 2 framework template configuration, control library customization, workflow automation, integration setup with enterprise systems, evidence request management, cross-functional collaboration, and how to leverage AuditBoard's audit management capabilities for organizations managing SOC 2 alongside other compliance programs.

Prerequisites

Prerequisite	Details	How to Verify
AuditBoard license and admin access	Implementation requires administrator-level access to configure the platform	Confirm license activation and admin credentials with your AuditBoard account team
SOC 2 scope defined	Know which Trust Service Criteria, systems, and processes are in scope	Document scope decisions before beginning platform configuration
Control inventory	Have a preliminary list of controls or control objectives for SOC 2	Reference your gap assessment or readiness assessment output
Stakeholder identification	Know which teams will own controls and provide evidence	Map control owners across engineering, IT, HR, and security teams
Integration inventory	List of systems that will integrate with AuditBoard for evidence collection	Document cloud providers, identity providers, HR systems, and development tools
Auditor engagement	Have your SOC 2 auditor selected or in process	Auditor requirements may influence how you configure the platform

Workspace and Program Setup

Step 1: Configure Your AuditBoard Workspace

AuditBoard organizes compliance work through workspaces and programs. The workspace is your organizational container, and programs represent specific compliance initiatives.

Configuration Element	Setting	Considerations
Workspace name	Your organization name	Standard naming convention; consistent across all programs
SOC 2 program creation	Create a dedicated SOC 2 program	Separate program for SOC 2 allows independent management; can link to other programs later
Program scope definition	Define the Trust Service Criteria and examination period	Match your engagement letter scope; typically Security + Availability at minimum
Team structure	Add team members with appropriate roles	Admin, program manager, control owner, reviewer roles available
Notification settings	Configure email and in-app notification preferences	Set up notifications for evidence requests, review deadlines, and status changes

Step 2: Define Organizational Structure

AuditBoard allows you to map your organizational structure, which enables effective control ownership assignment and evidence routing.

Structure Element	Purpose	How to Configure
Business units / departments	Organize controls and evidence by department	Create departments that match your organizational structure (Engineering, IT, HR, Security, Legal)
Locations	Define physical and cloud locations relevant to SOC 2 scope	Add office locations and cloud regions as applicable
Systems inventory	Catalog systems in SOC 2 scope	Add each in-scope system with description, owner, and classification
Third-party vendors	Document subservice organizations and key vendors	Add cloud providers, SaaS tools, and other vendors in your supply chain

SOC 2 Framework Template Configuration

Using AuditBoard's SOC 2 Template

AuditBoard provides a SOC 2 framework template that maps Trust Service Criteria to controls. In our experience, customizing this template to your organization is the most critical implementation step — do not skip or rush it.

Template Configuration Step	Details	Time Estimate
Import SOC 2 framework template	Load AuditBoard's pre-built SOC 2 Trust Service Criteria mapping	1-2 hours
Select applicable Trust Service Criteria	Enable only the criteria included in your SOC 2 scope	30 minutes
Review default control mappings	Examine the pre-mapped controls for each criteria point	4-8 hours
Customize control descriptions	Modify control descriptions to match your specific implementations	8-16 hours
Add organization-specific controls	Add controls unique to your environment not covered by the default template	4-8 hours
Remove non-applicable controls	Disable or remove controls that do not apply to your organization	2-4 hours
Total template configuration	Complete framework template ready for use	20-40 hours

Trust Service Criteria Mapping

Criteria Series	AuditBoard Template Coverage	Customization Needed
CC1 — Control Environment	Pre-mapped controls for organizational structure, governance, HR processes	Moderate — customize to your governance structure and HR practices
CC2 — Communication and Information	Pre-mapped controls for internal and external communication	Light — adjust communication channels and stakeholders
CC3 — Risk Assessment	Pre-mapped controls for risk identification and evaluation	Moderate — customize to your risk assessment methodology
CC4 — Monitoring Activities	Pre-mapped controls for ongoing and separate evaluations	Moderate — customize to your monitoring tools and cadence
CC5 — Control Activities	Pre-mapped controls for control selection and development	Light — general control activity framework
CC6 — Logical and Physical Access	Pre-mapped controls for access management and authentication	Heavy — customize extensively for your identity management and access control implementation
CC7 — System Operations	Pre-mapped controls for detection and response	Moderate — customize for your monitoring and incident response tools
CC8 — Change Management	Pre-mapped controls for change control processes	Heavy — customize for your development workflow and deployment pipeline
CC9 — Risk Mitigation	Pre-mapped controls for risk management activities	Light — general risk mitigation framework
A1 — Availability	Pre-mapped controls for capacity and disaster recovery	Moderate — customize for your infrastructure and DR approach
C1 — Confidentiality	Pre-mapped controls for confidential information handling	Moderate — customize for your data classification and handling
PI1 — Processing Integrity	Pre-mapped controls for processing accuracy and completeness	Heavy — customize for your specific data processing activities

Control Library Customization

Building Your Control Library

AuditBoard's control library is the central repository of all controls your organization maintains. For SOC 2, we recommend ensuring each control maps to one or more Trust Service Criteria points — this mapping is what your auditor will test against.

Control Attribute	Purpose	Example
Control ID	Unique identifier for tracking and reference	CC6.1-01, CC8.1-03
Control title	Brief descriptive title	"Multi-Factor Authentication Enforcement"
Control description	Detailed description of what the control does	"MFA is enforced for all users accessing production systems through the identity provider configuration"
Control type	Preventive, detective, or corrective	Preventive
Control frequency	How often the control operates	Continuous, daily, weekly, monthly, quarterly, annually
Control owner	Person responsible for the control's operation	Security Engineer, IT Manager, Engineering Lead
Evidence type	What evidence demonstrates the control is operating	Configuration screenshot, system-generated report, log export, policy document
Criteria mapping	Which Trust Service Criteria the control addresses	CC6.1, CC6.2
Testing procedure	How the control's effectiveness will be tested	"Review IdP configuration confirming MFA is enabled for all users; verify no exemptions exist"

Control Ownership Assignment

Department	Typical Control Areas	Number of Controls (Typical)
Security / IT	Access management, network security, endpoint protection, vulnerability management	25-40 controls
Engineering	Change management, code review, deployment controls, infrastructure configuration	15-25 controls
HR	Onboarding, offboarding, background checks, security training	8-12 controls
Leadership / GRC	Governance, risk assessment, policy management, vendor management	10-15 controls
Operations	Incident response, business continuity, backup management	8-12 controls

Workflow Automation

Configuring Automated Workflows

AuditBoard's workflow engine allows you to automate recurring compliance activities, reducing manual effort and ensuring consistency. We advise clients to prioritize evidence request automation and access review workflows first — these two deliver the highest return on setup time.

Workflow Type	Configuration	Benefit
Evidence request automation	Schedule recurring evidence collection requests to control owners	Ensures evidence is collected on time; reduces manual follow-up
Review and approval workflows	Configure multi-step review workflows for evidence and controls	Enforces review process; creates audit trail of approvals
Access review workflows	Schedule quarterly access review tasks with assignment and tracking	Automates the most common SOC 2 finding area (CC6 access reviews)
Risk assessment workflows	Schedule periodic risk assessment activities with assigned reviewers	Ensures risk assessments occur on schedule
Policy review workflows	Schedule annual policy review tasks with acknowledgment tracking	Tracks policy currency and employee acknowledgment
Exception management workflows	Route control exceptions through investigation and remediation	Ensures exceptions are documented, investigated, and resolved

Evidence Collection Cadence

Evidence Type	Collection Frequency	Workflow Configuration
System configurations (cloud, IdP, MDM)	Monthly or continuous (via integration)	Automated collection where integrated; monthly manual request where not
Access review documentation	Quarterly	Quarterly workflow triggering access review tasks for each system owner
Policy documents	Annual review	Annual workflow for policy review and re-acknowledgment
Training completion records	Annual or upon hire	Annual training cycle workflow; new hire onboarding workflow
Vulnerability scan results	Monthly or continuous	Monthly evidence request or integration with scanning tools
Change management evidence (PRs, reviews)	Continuous (via integration)	Automated collection through repository integration
Incident response evidence	Per incident	Triggered by incident declaration; follows incident response workflow
Risk assessment documentation	Annual	Annual risk assessment workflow with multi-step review

Integration Setup

Enterprise Integration Strategy

AuditBoard's integration ecosystem is designed for enterprise environments. In our experience, configuring integrations is where you get the most leverage — automating evidence collection eliminates the largest recurring time cost.

Integration Category	Common Integrations	Evidence Collected	Priority
Cloud infrastructure	AWS, GCP, Azure	Infrastructure configuration, encryption status, network security, IAM	High — largest evidence volume
Identity provider	Okta, Azure AD, Google Workspace	User management, MFA configuration, SSO settings, access logs	High — foundational access control evidence
Code repository	GitHub, GitLab, Bitbucket	Branch protection, PR reviews, code review evidence	High — change management evidence
HR system	Workday, BambooHR, Rippling	Employee roster, onboarding, terminations	High — access lifecycle evidence
Endpoint management	Jamf, Kandji, Intune	Device encryption, security configuration, compliance status	Medium — endpoint security evidence
Ticketing	Jira, ServiceNow	Change management tickets, incident records	Medium — process evidence
Vulnerability scanning	Qualys, Rapid7, Nessus	Vulnerability assessment results, remediation tracking	Medium — vulnerability management evidence
Monitoring and alerting	Datadog, PagerDuty, Splunk	Monitoring configuration, alert evidence, log management	Medium — operations evidence

Integration Configuration Process

For each integration:

1. Identify the evidence the integration provides — Map integration data to specific SOC 2 controls
2. Configure API credentials — Set up service accounts or API tokens with read-only access
3. Configure data synchronization — Set sync frequency (real-time, hourly, daily)
4. Map data to controls — Link integration data to the appropriate controls in your library
5. Verify data accuracy — Compare integration data to direct source verification
6. Set up monitoring — Configure alerts for integration failures or data gaps

Evidence Request Management

Managing Evidence Across Teams

One of AuditBoard's strengths is its evidence request management system, which helps compliance teams coordinate evidence collection across the organization. What we tell clients is that evidence management is where many AuditBoard implementations either succeed or struggle — invest in clear templates and realistic due dates.

Evidence Management Feature	How to Use It	Best Practice
Evidence requests	Create and assign evidence collection tasks to control owners	Include clear instructions, examples, and due dates in each request
Templates	Create reusable evidence request templates for recurring collections	Standardize templates for each evidence type to ensure consistency
Due date tracking	Set due dates and track completion status	Set due dates two to three weeks before evidence is needed for audit
Review and approval	Configure review steps for submitted evidence	Require compliance team review before marking evidence as complete
Evidence repository	Organize completed evidence by control, period, and type	Use consistent naming conventions and folder structures
Auditor access	Grant auditor read-only access to the evidence repository	Coordinate with your auditor on preferred evidence format and organization

Evidence Organization Best Practices

Organization Strategy	Implementation	Why It Matters
Control-based filing	Organize evidence by control ID (CC6.1-01, CC8.1-03)	Auditors test by control; control-based organization streamlines fieldwork
Period-based folders	Create folders for each audit period (quarterly, annual)	Prevents evidence from different periods being confused
Consistent naming	Use standardized file naming conventions	Reduces confusion; makes evidence searchable
Version control	Maintain version history for evidence that updates over time	Demonstrates evidence currency; shows changes over time
Completeness tracking	Use AuditBoard's dashboard to track evidence completeness by control	Identifies gaps before audit fieldwork begins

Cross-Functional Collaboration

Engaging Control Owners

AuditBoard's collaboration features help compliance teams work with control owners across the organization who may not be familiar with SOC 2 requirements. We recommend investing in a brief orientation session for all control owners before launching evidence requests — it dramatically improves response quality and timeliness.

Collaboration Feature	Use Case	Configuration
Role-based access	Give control owners access only to their controls and evidence tasks	Configure granular permissions by department and control area
Task assignment	Assign specific evidence collection and review tasks to individuals	Use clear task descriptions with context about why the evidence is needed
Communication threads	Enable discussion on specific controls or evidence items	Use in-platform communication to maintain an audit trail
Training materials	Provide control owners with guidance on SOC 2 and their responsibilities	Create a brief SOC 2 orientation for control owners explaining their role
Dashboard views	Give control owners visibility into their outstanding tasks	Configure department-specific dashboards showing task status
Automated reminders	Set up reminder notifications for approaching due dates	Configure reminders at seven days, three days, and one day before due date

Multi-Framework Leverage

Using AuditBoard for SOC 2 Alongside Other Frameworks

AuditBoard's enterprise positioning means many organizations use it for multiple compliance frameworks simultaneously. We consistently see cross-framework control mapping deliver the highest ROI for our clients — leveraging shared controls reduces duplicate effort significantly.

Framework Combination	Control Overlap with SOC 2	AuditBoard Advantage
SOC 2 + ISO 27001	60-70% control overlap	Map shared controls once; evidence collected once serves both frameworks
SOC 2 + HIPAA	50-60% control overlap (for healthcare SaaS)	HIPAA-specific controls layered on top of SOC 2 base
SOC 2 + PCI DSS	40-50% control overlap (for fintech/payments)	Unified control library with framework-specific evidence requirements
SOC 2 + SOX ITGC	30-40% control overlap	Internal audit team can manage SOX and SOC 2 in one platform
SOC 2 + NIST CSF	50-60% control overlap	NIST mapping provides risk-based framework complement to SOC 2

Cross-Framework Control Mapping

1. Identify shared controls — Review controls that map to multiple frameworks
2. Create unified control descriptions — Write control descriptions that satisfy all mapped frameworks
3. Configure multi-framework evidence collection — Collect evidence once, map to multiple controls
4. Set up framework-specific testing — Where testing procedures differ, configure separate test plans
5. Generate framework-specific reports — Use AuditBoard's reporting to produce framework-specific views

Audit Readiness

Preparing for Auditor Fieldwork in AuditBoard

Preparation Step	Timing	Details
Evidence completeness review	4-6 weeks before fieldwork	Review dashboard for evidence gaps; follow up on outstanding requests
Evidence quality review	3-4 weeks before fieldwork	Compliance team reviews evidence for accuracy and completeness
Auditor workspace setup	2-3 weeks before fieldwork	Configure auditor read-only access; provide platform orientation
Control walkthrough preparation	2 weeks before fieldwork	Prepare control owners for auditor walkthroughs; review control descriptions
Evidence export preparation	1-2 weeks before fieldwork	Prepare evidence exports for any controls not covered by direct platform access
Final completeness check	1 week before fieldwork	Final review of all evidence; address any remaining gaps

Key Takeaways

• We consistently see AuditBoard deliver the most value for mid-market and enterprise organizations managing SOC 2 alongside other compliance frameworks, internal audit programs, or enterprise risk management — its configurability and cross-framework capabilities differentiate it from startup-focused platforms
• Framework template configuration requires twenty to forty hours of setup effort including criteria selection, control mapping customization, organization-specific control additions, and ownership assignment — we advise clients to invest this time upfront to ensure the platform accurately reflects your control environment
• Control ownership distribution across departments (Security/IT, Engineering, HR, Leadership, Operations) is critical for effective evidence collection — AuditBoard's role-based access and task assignment features enable cross-functional collaboration without overwhelming non-compliance team members
• Integration setup follows the same read-only principle as other GRC platforms: connect cloud infrastructure, identity providers, code repositories, and HR systems to automate evidence collection for the highest-volume control areas
• Multi-framework control mapping is AuditBoard's primary advantage for organizations pursuing SOC 2 plus additional frameworks — sixty to seventy percent control overlap with ISO 27001 and fifty to sixty percent with HIPAA means evidence collected once can serve multiple frameworks
• We help organizations implement AuditBoard for SOC 2 and multi-framework compliance at Agency, including template configuration, control library design, workflow automation, and integration strategy that maximizes the platform's enterprise capabilities

Frequently Asked Questions

Is AuditBoard appropriate for small startups pursuing SOC 2 only?

What we tell clients is that AuditBoard is generally not the best fit for small startups (under fifty employees) pursuing SOC 2 as their only compliance framework. The platform's enterprise features and configuration requirements are more than what a small, single-framework program needs, and the pricing reflects enterprise-tier positioning. Startups are typically better served by platforms like Vanta, Drata, or Secureframe that offer faster time-to-value for SOC 2-specific compliance. AuditBoard becomes the right choice when organizations manage multiple frameworks, have dedicated compliance teams, or need integration with internal audit programs.

How long does AuditBoard implementation take for SOC 2?

Based on what we see across client engagements, full AuditBoard implementation for SOC 2 typically takes four to eight weeks, including workspace setup, framework template configuration, control library customization, integration configuration, and team onboarding. This is longer than startup-focused platforms (which often complete initial setup in one to three weeks) because AuditBoard's configurability requires more decisions and customization. The upfront investment pays off through more tailored compliance management and reduced effort when adding additional frameworks. We recommend planning for dedicated implementation time from your compliance team and considering an advisory firm for guidance during setup.

Can we migrate to AuditBoard from another GRC platform?

In our experience, migration from another GRC platform to AuditBoard is possible and follows a standard migration process: export data from your current platform, map controls and evidence to AuditBoard's structure, configure AuditBoard according to your requirements, reconnect integrations, and validate evidence completeness. The migration timeline is typically four to eight weeks, with two to four weeks of parallel operation recommended to ensure evidence continuity. What we always emphasize to clients is that the most important migration consideration is maintaining evidence continuity across your audit period — coordinate migration timing with your auditor to avoid evidence gaps.

How does AuditBoard handle auditor collaboration?

What we advise clients to leverage is AuditBoard's dedicated auditor access features including read-only workspace access, evidence export capabilities, and structured communication channels. You can grant your auditor direct access to the AuditBoard platform, allowing them to review evidence, controls, and testing results without requiring manual evidence packaging. Many audit firms are familiar with AuditBoard, particularly mid-market and enterprise audit firms that work with larger organizations. The platform's audit management features — including test plan management, finding tracking, and remediation documentation — streamline the auditor-client interaction during fieldwork.