Episode 40 — Fieldwork Do’s & Don’ts; Request Lists & Walkthroughs

Fieldwork is the active phase of the SOC 2 audit when auditors test controls, review evidence, and conduct walkthroughs. The exam expects familiarity with the rhythm: request list issuance, evidence submission, clarifications, and interviews. “Do’s” include organizing artifacts before requests arrive, validating timeframes, and rehearsing walkthroughs with control owners. “Don’ts” include submitting incomplete samples, altering artifacts after submission, or guessing when unsure—always clarify. Understanding that auditors test both process and consistency helps you prepare accurate responses and avoid follow-up rounds that prolong fieldwork.

Operationally, maintain a single evidence portal or folder structure that mirrors control IDs and Trust Services Criteria. Label artifacts with control name, period, and owner. During walkthroughs, let the practitioner describe the process, show live system evidence, and reference tickets or dashboards. Keep communication professional and documented—auditors log all interactions as part of workpapers. Post-fieldwork, track open requests or exceptions through closure memos. Real-world success depends on preparation and transparency; when evidence flows cleanly and walkthroughs are coherent, audits conclude faster and with fewer findings. Produced by BareMetalCyber.com, where you’ll find more cyber audio courses, books, and information to strengthen your educational path. Also, if you want to stay up to date with the latest news, visit DailyCyber.News for a newsletter you can use, and a daily podcast you can commute with.