# STEP 2: Set Audit Program Expectations

Start Smart. Align Early

## Before You Touch a Single Control

**You can’t audit your way out of a culture problem.**  
When organizations struggle with compliance, it’s rarely because of a missing policy or an incomplete checklist.  
The root cause? Misalignment across departments.  
That’s why the first step of any serious compliance journey must begin with getting your entire organization on board—not just aware of the effort, but aligned with it.

## Why should you pursue compliance today?

# Tightening Cyber Insurance Requirements
You need documentation, evidence, and real security maturity to qualify.

# Impending Vendor Security Questionnaires
You must respond to security questionnaires - or risk lost business opportunities.

# Security Audits Have Become Non-negotiable
SOC 2, HIPAA, NIST, and CMMC aren’t just acronyms—they’re expectations.

## Compliance Areas to Align On
This is a business alignment conversation - not a compliance crash course. You just need enough to secure the trust and sponsorship you’ll need throughout the process.

#### The “Why Now”  
**Frame the business impact**  
Common drivers include, customer or prospect demands, expansion into new markets or verticals, security incidents or risk exposure, and building trust as a competitive differentiator.

#### The Scope  
**Be clear and realistic**  
Include a visual or high-level roadmap to clarify the framework(s) you are pursuing, what’s included and excluded from the compliance scope, and your expected timeline.

#### The Involvement  
**Who needs to contribute (and when)**  
Draft an RACI chart to outline which departments you’ll need support from and clarify expectations of whether they're being asked for decisions, approvals, or documentation.

#### The Executive Team's Role  
**Assign and spell it out**  
List the official sponsor(s), who will help enforce accountability if departments fall behind, and set expectations on updates (monthly reports, dashboards, etc.).

### Executive Alignment Toolkit  
Organize everything you need to run a high-impact kickoff with leadership—without overwhelming them.

## Audit Expectations Pitfalls to Avoid

- **Not Aligning to Revenue or Risk**  
Always link it to revenue (i.e., customer demands), risk (i.e., breach prevention), or growth (i.e., new markets).

- **Assuming Silence = Support**  
Ask for explicit commitments and feedback. Ambiguity now will turn into resistance later

- **Waiting for Perfect Clarity**  
Early involvement builds trust and ownership—don’t overcook the strategy in isolation.

## 30-Min Executive Alignment Agenda

|     |     |     |
| --- | --- | --- |
| **TIME**<br>* * * | **TOPIC**<br>* * * | **OWNER**<br>* * * |
| **0:00–0:05** | Why compliance? Why now? | Compliance Lead |
| **0:05–0:15** | Roadmap & resource needs | Compliance Lead |
| **0:15–0:25** | Departmental involvement & impact | Compliance Lead |
| **0:25–0:30** | Sponsor assignment & next steps | Leadership / Board |

## Ready for the Next Step?  
Now that your leadership team is aligned, it’s time to organize your assets, users, systems, and documents.  
A clear, centralized view of your current resources will accelerate evidence collection, reduce redundant effort across teams, and help you scope and remediate risks.

[Identify Current Resources](/content/playbook-for-audit-readiness/identify-current-resources/index.html)  
[Return to Playbook Home](/content/healthcare-security-compliance-ostendio/index.html)

## You Also Might Be Wondering...

**Kevin Brown**  
ISO & Director of Professional Services  
* * *  
Kevin responds to your common questions.

##### Who should be involved in setting compliance program expectations?  
This is where security leaders, program owners, department heads, and project managers should align.  
In smaller organizations, it might just be 2–3 people wearing multiple hats. What matters is having clear ownership and shared agreement across teams.

##### Should our external auditor be involved in setting compliance expectations?  
Yes. When working with a partner or auditor, get them involved early.  
They can confirm whether your scope and timelines are realistic and help you avoid surprises during the audit.

##### How do I set measurable compliance goals?  
Approach your compliance program like a project with phases and deliverables.  
- **Align goals to audit criteria**: Break down your framework (like SOC 2 or ISO 27001) into individual requirements. Each requirement should become its own mini-goal (i.e., “Develop and approve an incident response plan”).  
- **Define success with evidence**: A goal is measurable when it results in something tangible—like an acknowledged policy or completed risk assessment.  
- **Tie goals to roles**: To maintain accountability, assign goals to a responsible people or teams. Then, build (or automate) workflows to keep them accountable.  
- **Use a platform to visualize progress**: A [GRC platform](/content/site-root.html) can accelerate the process of setting deadlines and aligning evidence, to help you visualize how close you are to being audit-ready.

##### Everyone Secure.

**Learn more by speaking to one of our experts**  
[Chat with an Expert](/content/contact-us-direct/index.html)  
[Compliance Glossary](/content/glossary-of-infosec-compliance-terms-ostendio-compliance-playbook/index.html)