Audit-ready all year, not once a year
Controls and SOPs are tracked continuously. ISO and SOC 2 evidence is collected and kept current by the system itself, so the audit is a read-out rather than a scramble.
- How often controls are checked
- ContinuousHow often controls are checkedInstead of in the weeks before an audit
- How evidence is collected
- AutomaticHow evidence is collectedGathered from the systems that produce it, as they produce it
- When the operator is audit-ready
- All yearWhen the operator is audit-readyThe audit reads out what the system already holds
- Customer
- Logistics operator holding ISO and SOC 2 certifications
- Scope
- Controls, SOPs and audit evidence
The periodic scramble
Certifications such as ISO and SOC 2 are won once and then defended every year. At this operator, defending them meant a scramble. In the weeks before an audit, people reconstructed evidence that a control had operated: screenshots, exports, emails, sign-offs. SOPs were dusted off and compared with what the operation actually did, which had drifted.
It worked, in the sense that the certificates were renewed. It cost weeks of skilled time, and it told leadership nothing about compliance in the other eleven months.
What we built
Controls tracked continuously. Each control is tied to the system that evidences it. The agent checks that the control is operating, on a schedule, and flags when it is not, at the time rather than at the audit.
SOPs held in one place and compared with reality. Procedures live in a governed platform alongside the controls they support, and the agent surfaces where the documented procedure and the observed process have drifted apart.
Evidence kept current on its own. The proof an auditor asks for is collected as it is produced and filed against the control, so the audit is a read-out of what is already there.
What it produced
The operator is audit-ready all year, not once a year. The pre-audit scramble is gone, and with it the weeks of skilled time it consumed.
The larger change is that compliance became a live view rather than an annual event: leadership can see today which controls are operating and which are not.
Products used
- Compliance automation