1. Understand The Types 

• Type I Report: This assessment focuses on the design of your system at a specific point in time. It evaluates whether your security controls are suitably designed to meet the Trust Services Criteria.

• Type II Report: This report offers a more in-depth analysis over a specified period, generally ranging from six months to a year. It assesses not just the design but also the operating effectiveness of the controls.

Organizations should determine which type aligns best with their business goals and client expectations.

2. Identify Trust Services Criteria (TSC) Applicable To Your Business: SOC 2 reports are based on the Trust Services Criteria, which include Security, Availability, Processing Integrity, Confidentiality, and Privacy. Depending on your organization’s services and client requirements, prioritize which criteria are essential.

• Security: Generally considered the baseline criterion; involves protecting system resources from unauthorized access.

• Availability & Performance: Relevant for organizations that provide services on a continuous basis.

Understanding which criteria are most pertinent to your operations will guide you in selecting the right report.

3. Consider Your Industry Requirements: Different industries may have varying compliance requirements. Organizations in healthcare, finance, or technology often face stricter regulations. Make sure to account for any industry-specific needs that may impact the report’s focus, ensuring that you choose a report that meets both SOC 2 standards and your industry obligations.

4. Look For Qualified Auditors: The reliability of your reports heavily depends on the qualifications and reputation of the auditing firm. Research auditors that specialize in SOC audits and have a good standing in the market.

• Verify Credentials: Check for certifications, experience, and industry-specific expertise.

• Read Reviews: Look for testimonials or case studies that illustrate the auditor’s competence and reliability.

5. Evaluate Report Customization: A cookie-cutter approach rarely meets the unique needs of an organization. Ensure that the auditor can customize the SOC 2 report to reflect your specific security controls, policies, and objectives. Customized reports provide stakeholders with clarity on your operational strengths and weaknesses.

Common Pitfalls and Audit Readiness Mistakes in SOC 2 Type 2 Assessments

A SOC 2 Type 2 assessment measures how effectively an organization’s internal controls operate over an extended period — often six to twelve months. Because this audit covers real-world performance, it can easily expose operational weaknesses, documentation gaps, and process inconsistencies. Below are the most common pitfalls companies encounter and proven strategies to overcome them.

1. Incomplete or Disorganized Evidence Collection

Pitfall:
Many organizations fail to gather complete, verifiable evidence for all controls throughout the audit period. Evidence is often stored across different tools or departments, leading to inconsistencies and delays during the audit.
Example: Missing access logs, incomplete incident reports, or outdated screenshots from early in the audit window.

How to Avoid It:

• Use automated evidence collection tools or trust management platforms (e.g., Drata, Vanta, Tugboat Logic) to continuously capture control data.

• Establish a central repository for audit evidence accessible to both compliance and technical teams.

• Conduct quarterly readiness checks to ensure all required evidence is collected and properly timestamped.

2. Unclear Control Ownership

Pitfall:
Controls are often assigned vaguely across teams, leading to confusion over who is responsible for maintaining documentation, performing reviews, or implementing remediation.
Example: The IT team assumes HR is managing user access reviews, while HR assumes IT is — resulting in missed reviews and failed audit points.

How to Avoid It:

• Assign clear control ownership using a responsibility matrix (e.g., RACI model).

• Include control responsibilities in job descriptions or team SOPs.

• Conduct periodic control owner briefings to align understanding and ensure accountability.

3. Lack of Continuous Monitoring

Pitfall:
Some organizations treat SOC 2 compliance as a once-a-year event rather than a continuous process. As a result, they only start preparing shortly before the audit window closes — causing rushed evidence gathering and overlooked control failures.

How to Avoid It:

• Adopt a “compliance-by-design” approach where controls are embedded in daily workflows.

• Implement continuous monitoring to detect deviations or failures in real time.

• Review control metrics monthly or quarterly instead of annually.

4. Inconsistent Policy and Procedure Updates

Pitfall:
Policies and procedures often become outdated or misaligned with current operations, cloud environments, or regulatory expectations. Auditors may find discrepancies between documented policies and what actually happens in practice.
Example: A data retention policy stating backups are stored for 90 days, while the current process keeps them for only 30.

How to Avoid It:

• Schedule annual policy reviews and align documents with actual processes.

• Version-control all compliance documents and track approval dates.

• Involve both IT and compliance leaders when revising or approving new policies.

5. Overlooking Third-Party Risk Management

Pitfall:
Vendors often have access to sensitive data or infrastructure, yet organizations fail to assess or document their controls properly. This oversight can lead to audit findings or trust service failures.

How to Avoid It:

• Maintain a vendor inventory with documented risk assessments and SOC 2 reports for critical suppliers.

• Require key vendors to provide their own SOC 2 Type 2 or ISO certifications.

• Integrate vendor risk management into your SOC 2 control environment.

6. Poor Incident Response Documentation

Pitfall:
Even if security incidents are handled correctly, they may not be properly documented. Missing timelines, root-cause analyses, or post-incident actions can weaken the audit record.

How to Avoid It:

• Standardize incident response templates for consistent documentation.

• Conduct post-incident reviews to identify and track remediation.

• Store all incident reports securely and link them to relevant SOC 2 controls (e.g., security monitoring, change management).

7. Lack of Internal Audit or Pre-Audit Readiness Reviews

Pitfall:
Organizations often enter a SOC 2 Type 2 audit without conducting internal readiness assessments, leading to unexpected findings or failed controls during the actual audit.

How to Avoid It:

• Conduct a mock audit or readiness assessment 2–3 months before the official audit.

• Engage external advisors or auditors early to identify control weaknesses.

• Use readiness results to fine-tune evidence collection, remediation, and team training.

8. Neglecting Communication and Training

Pitfall:
Teams may not fully understand the purpose of SOC 2 or the importance of their role in maintaining control effectiveness. This leads to unintentional gaps, such as skipping security reviews or mishandling customer data.

How to Avoid It:

• Run awareness training for employees on SOC 2 requirements and responsibilities.

• Communicate upcoming audit timelines and expectations across departments.

• Create checklists for teams involved in control execution (e.g., HR, IT, DevOps).