Avoiding Common SOC 2 Audit Pitfalls

Preparing for a SOC 2 audit takes time and effort, but even with a well-prepared program, it’s not uncommon to encounter a few surprises during the audit itself.
Certain issues tend to recur across SOC 2 reports, and understanding these common pitfalls can help you proactively avoid them.

In this guide, we’ll explore some of the most common SOC 2 audit exceptions and share practical tips on how to maintain a clean report and keep your customers confident.

Why Do SOC 2 Exceptions Happen?

SOC 2 audits are designed to test how well your controls operate in practice, not just on paper.
Even with well-designed policies, execution gaps can occur due to human error, system drift, or inconsistent processes.

The key is to treat SOC 2 as a continuous effort, not a one-time checklist.
By building a culture of compliance and leveraging automation where possible, you can significantly reduce the risk of exceptions.

Common Pitfall: Missed Access Reviews

One of the most frequent audit findings involves reviews of user access.
Organizations often establish quarterly or monthly access review policies, but in the rush of daily business, these reviews sometimes get missed or performed inconsistently.

To avoid this, schedule recurring calendar reminders, assign clear ownership, and automate as much of the process as possible.
Many organizations use tools like DSALTA to automate the tracking and reporting of access review activities.

Common Pitfall: Incomplete Logging and Monitoring

Another common issue is insufficient logging or gaps in log review practices.
SOC 2 auditors expect to see that you are capturing logs for key systems and that someone is regularly reviewing those logs.

Ensure that logging is enabled across all cloud infrastructure, applications, and key security tools.
Define and document a straightforward log review process, and ensure that staff are trained and accountable for executing it.

Common Pitfall: Missed Backup Testing

It’s not enough to perform backups—you must also regularly test backup restorations.
Many audit exceptions occur when organizations can’t provide evidence of recent, successful backup tests.

Build backup testing into your operational rhythms. Schedule tests at a minimum of quarterly intervals, document the outcomes, and store this evidence in a location that can be easily retrieved during the audit.

Common Pitfall: Vendor Management Gaps

As companies grow, they naturally rely on more third-party services, but vendor risk management often lags.
SOC 2 auditors expect to see that critical vendors are regularly assessed and that security considerations are incorporated into vendor selection and management processes.

To stay ahead of this, maintain a centralized vendor inventory, perform annual risk reviews, and document security due diligence efforts for new vendors.
This aligns well with broader compliance expectations under frameworks such as PCI DSS and HIPAA, both of which emphasize the importance of strong third-party risk management.