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A SOC 2 audit is a crucial validation for all organisations dealing with customer data. It serves as an indicator that the organisation is applying safe and secure practices. On the other hand, a lot of firms do not pass the SOC 2 compliance audit due to a lack of readiness. The commonly made mistakes are neglecting the vital controls, not keeping records of their security measures, and not conducting system checks often enough. All this contributes to increased audit difficulties and consequently prolonged delays. A proper SOC 2 gap assessment should be the first step, this way, you will easily grasp what is lacking before the audit starts.
Lack of Proper Documentation
Many companies fail because they do not maintain complete and updated documentation. A SOC 2 compliance audit needs proof for each security control. If a company has strong policies but cannot show them clearly, it will still not pass. Documentation is also important during a SOC 2 gap assessment because it shows what controls are active and what needs improvement.
Weak Access Control Practices
Another common reason for failure is weak access control. This happens when employees have more access than they need or when accounts are not removed after someone leaves the company. Many teams also do not review access regularly. These issues create risk and show that the company is not following secure practices. This is also where a good cyber security risk assessment helps. It checks if sensitive systems are protected and if only the right people have access. Without this assessment, important risks stay hidden and lead to audit failure.
Poor Incident Response Processes
A clear incident response plan is required in every SOC 2 audit. But some companies do not test their plans or update them regularly. When a real incident happens, they do not follow the correct steps. Such a situation indicates the lack of strong and secure internal practices and elevates the risk of not passing the SOC 2 compliance audit. An incident response plan must thoroughly elaborate on the methods of detecting, reporting, and resolving security problems. It should also show how the company prevents future incidents. This is also a part of a strong cyber security risk assessment which checks if the company can respond during an emergency.
Ignoring Vendor Risks
Many companies use third party tools, cloud platforms, and external vendors. But they forget that these vendors also affect compliance. If a vendor has weak security, it becomes a risk for the whole organisation. Companies fail the audit when they do not evaluate vendor security or track vendor performance. Regular reviews are necessary, especially as part of a cyber security risk assessment, because vendors handle important data and systems. If vendor risks are ignored, the company will not pass the audit.
Poor Compliance in Healthcare Systems
Companies that work with healthcare data face additional challenges. Healthcare systems must follow both SOC 2 controls and HIPAA requirements. In most cases, the failure of the SOC 2 audit also occurs when these teams do not perform a HIPAA risk assessment. If a company does not monitor healthcare data systems properly, it will lead to weak controls during the audit. Doing a HIPAA risk assessment along with SOC 2 planning helps avoid this problem.
Not Training Employees
The involvement of the employees is essential for the security of a company. However, the majority of the companies do not conduct the training for their teams at regular intervals. As a result, employees might treat classified data in the wrong way due to their misconception of the security regulations. These mistakes affect the audit results. Training programs must be simple and clear so that employees understand what to do and what to avoid. Training also supports the SOC 2 gap assessment because it shows which areas need more guidance.
Conclusion
SOC 2 audit failures occur due to companies not paying attention to the main security practices, avoiding processes, or failing to keep an eye on their systems. Good preparation is the most effective way to prevent failure. Doing a complete SOC 2 compliance audit requires regular checks and a detailed SOC 2 gap assessment to find problems early. It necessitates a comprehensive HIPAA risk assessment for the groups that manage healthcare data. If you seek dependable assistance for compliance and risk management, you could consider SecurifyAI. Their security and automation tools help companies stay ready, avoid common mistakes, and build stronger protection for their data.
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