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5 Compliance Mistakes That Can Delay Your SOC 2 Type 2 Certification
Posted By Matayo AI Solutions Pvt Ltd
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One of the most effective and influential methods by which businesses show their commitment to uphold data protection practices is to complete SOC 2 Type 2 certification. Type 2 is somewhat different from type 1 because it assesses the security design at a single point in time. The latter, on the other hand, would look at the effectiveness of these controls in a number of months, say one year. The certification process is longer and cumbersome than some organizations had expected because a few complaints and errors may result in expensive delays, audit failures, and rework.
Avoid these five pitfalls that limit SOC 2 Type 2 compliance
The SOC 2 Type 2 certification assists in confirming the integrity of security and uninterrupted operations of an organization. In the process of upholding this compliance, there may be errors.
Inadequate Scoping of Systems and Processes
The foundation of the SOC type 2 audit begins with a properly defined scope. Many organizations often make the mistake of either overscoping, adding excessive systems or underscoping excluding significant processes. Both can be responsible for compliance blind spots and confusion during the audit. Thus, an adequate scope should be in place with the services that a company is offering to its clients in order to have data that can be processed. By working with compliance professionals, you may get your boundaries of the audit to be clear, relevant, and efficient, and save some time and resources in the future.
Poor Documentation and Evidence Management
Errors in documentation have remained a primary cause of audit delays. During a SOC type 2 audit, auditors are required to provide evidence that security controls have functioned consistently throughout the audit time. If you have missing records, incomplete policies, or an unqualified workflow, then it can instantly trigger a red flag. It has been observed that more than 60% of audit delays are due to the company's commitment to maintaining real-time documentation of its controlling activities. Automatic evidence collection and the maintenance of audit systems are drastically reducing the risk of errors or missing data during review.
Lack of Continuous Monitoring and Control Testing
Type 2 differs from type 1 in that the latter is a one-time assessment, whereas SOC 2 type 2 compliance requires sustained control performance over time. The major pitfall is that security checks are seen as a one-time event other than an ongoing process. Consequently, unless it is actively followed, access controls or security patches, as well as incident response, deviations can be missed and your SOC 2 Type 2 report will have nonconformities. The use of automatic monitoring tools with less human intervention can be employed to assist in carrying out a quarterly internal audit where your controls are well controlled during the audit period.
Neglecting Employee Training and Security Awareness
According to the 2024 data breach investigation report, approximately 74% of security incidents were caused by ongoing human error. It mainly happens when employees are unaware of compliance responsibilities, such as password protection protocols, incident reporting procedures, or data-handling procedures, leading to preventable violations.
Insufficient Readiness Before the Audit
When you go directly to an audit without a readiness assessment, it's like not studying before sitting an examination. Minor organizations are underestimated in the time, required to control testing and remediation. This usually leads to the last minute case or a lengthy audit schedule. A pre-ordering review helps in understanding the gaps at an early stage enabling your team to rectify the gaps without the official SOC type 2 certification audit taking place. It also makes sure that the departments, both the IT and the HR, are in tandem with the expectations and evidence requirements.
Conclusion
The SOC 2 process is not only supposed to be stressful but also very rewarding thus a successful SOC 2 Type 2 report shows the company that it is not only concerned with operational efficiency but also has proper security controls. Well, you suppose, that can be stressful, but with professional coaches, it will be easy and convenient to manage compliance errors. To illustrate, your collaboration with Matayo will not be in vain, as our professional consultants will assist in streamlining your way to SOC 2 Type 2 compliance with the help of systematic readiness and automated evidence gathering and support of the end-to-end SOC 2 Type 2 audit.
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