The Compliance Need: Why CodeBot Approached CertPro

As a growing SaaS platform handling sensitive HR and configuration data, CodeBot identified the need for independent assessment of its control environment against recognized frameworks to support customer assurance and contractual requirements. Initially, their goal was to achieve a SOC 2 Type 2 report to meet growing client expectations and industry standards. Additionally, to expand its global presence and align with global clients’ expectations, CodeBot recognized the value of ISO 27001:2022 certification and further enhanced its security framework.

During the assessment and early audit phases, a number of security and documentation gaps were identified. While these gaps were not uncommon for a fast-scaling SaaS startup,CodeBot required an independent audit firm to evaluate control design and operating effectiveness and provide formal reporting aligned with applicable standards.

Audit Scope and Procedures

CertPro executed a structured and collaborative approach to get compliant with SOC 2 Type 2 and ISO 27001:2022, addressing CodeBot’s unique needs for both standards:

SOC 2 Type 2 Audit:

• Reviewed the provided evidence against SOC 2’s Trust Services Criteria (Security, Confidentiality, and Availability).
• Reviewed audit evidence, including system logs, access records, and encryption controls, to evaluate control design and operating effectiveness.
• Identified control gaps, including access logging limitations and incomplete incident response documentation, and reported these as audit observations.

ISO 27001:2022 Audit:

• Following the successful SOC 2 engagement, CertPro conducted ISO 27001:2022 audit. 
• Evaluated implemented controls against ISO/IEC 27001:2022 requirements based on evidence provided. Furthermore, audit findings were communicated to management based on evidence reviewed during the assessment.
• Guided CodeBot through the ISO 27001:2022 certification audit, providing real-time support to address auditor feedback and secure certification.

CertPro’s Audit Methodology

CertPro conducted the engagement using a structured, evidence-based audit methodology.The process included:

• Scope Confirmation: Audit scope, applicable criteria, and system boundaries were agreed jointly prior to audit execution.
• Evidence Review: Policies, procedures, and supporting documentation were reviewed against applicable criteria.
• Observation Reporting: Control gaps and exceptions were identified and documented based on evidence reviewed.
• Reporting and Attestation: Formal SOC 2 Type 2 report and ISO/IEC 27001 audit outputs were issued upon completion of audit procedures.

Ongoing monitoring and control maintenance remain the responsibility of management.

Following completion of the SOC 2 Type 2 examination, CodeBot proceeded with the ISO/IEC 27001:2022 audit engagement.

Conclusion

CodeBot completed the SOC 2 Type 2 examination and ISO/IEC 27001:2022 certification through structured audit procedures and independent evaluation.

The engagement resulted in documented validation of control design and operating effectiveness across in-scope systems and processes. Audit reports and certification outputs provided objective evidence to support customer due diligence, contractual requirements, and regulatory expectations.