Planning & Preparation
Define scope, confirm responsibilities, organize documentation, and align stakeholders before the examination begins.
Audit Process
Independent assurance over service-organization controls relevant to customers' financial reporting.
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SOC 1 Type I Audit Process
Our structured SOC 1 Type I readiness approach helps your team prepare documentation, evidence, and control narratives for an efficient independent examination.
Control Walkthroughs
The service auditor reviews processes, documentation, and walkthrough evidence to assess whether controls are suitably designed and implemented.
Report Delivery
The final Type I report presents the service auditor opinion and describes the relevant controls as of the specified date.
What to Expect from the Auditor?
A SOC 1 service auditor evaluates controls relevant to user entities financial reporting, using the agreed scope, control objectives, and evidence to form an independent opinion.
Type I
Evaluates whether relevant controls are suitably designed and implemented as of a specified date.
Type II
Evaluates design and operating effectiveness of relevant controls throughout a defined review period.
What to Expect from the Auditor?
- Audit Planning & Kickoff
- Evidence Collection
- Pre-Audit Preparation
- Ongoing Communication
- Audit Walkthroughs
- Draft and Final Report
- Testing and Validation
- During Fieldwork
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