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How to Pass Your SOC 2 Audit on the First Attempt

Published February X, 2026

Table of Contents

Key Takeaways: How to Pass Your SOC 2 Audit on the First Attempt

  • Passing a SOC 2 audit on the first attempt depends on preparation and scope, not just tools or documentation.
  • Most first-time SOC 2 issues come from timing and evidence gaps, not missing controls.
  • Choosing the correct report (SOC 2 vs SOC 1) and audit type (Type 1 vs Type 2) early prevents unnecessary cost and delays.
  • A narrowly scoped SOC 2 audit focused on the primary product and data flows is more manageable and more likely to succeed.
  • A practical SOC 2 compliance checklist and readiness assessment help identify gaps before audit fieldwork begins.
  • Access management, logging, vendor risk, and incident response are the most common sources of first-time audit exceptions.
  • Evidence must be collected while controls are operating, not recreated after the fact.
  • Working with auditors experienced in first-time SaaS SOC 2 audits leads to clearer expectations and a smoother audit process.

For SaaS companies and mid-market security leaders, a SOC 2 report can lead to shorter sales cycles. It can also mean fewer questionnaires and more trust with enterprise buyers.

Many companies approach SOC 2 thinking it is mostly paperwork or a tool-driven exercise. Others wait until someone blocks a deal before starting. Both approaches increase the risk of delays, failed audits, or expensive remediation cycles.

This manual helps you pass your SOC 2 audit on the first try. It shows you how to identify the right report.

You will learn to determine the correct scope. It also provides a SOC 2 compliance checklist. Finally, it helps you avoid common mistakes that many teams make.

What is SOC 2 and why US SaaS companies care

SOC 2 is a U.S. standard for security and compliance. It was created by the AICPA. This standard shows how you protect customer data in the cloud. Instead of focusing on your financial reporting, SOC 2 reviews the controls around your systems, processes, and people.

For B2B SaaS companies in the US, especially in healthcare and fintech, a clean SOC 2 report is now standard. This is particularly true for those selling in North America. Many business buyers will not work with a vendor that cannot prove SOC 2 compliance. Some state and industry rules also see SOC 2 as a way to show proper care.

SOC 2 reviews your controls across five “trust service criteria”:

  • Security (always required)
  • Availability
  • Confidentiality
  • Processing integrity
  • Privacy

Most SaaS companies in the United States begin with security, availability, and confidentiality. They add more criteria later as customer needs grow.

How to pass a SOC 2 audit on the first attempt (quick answer)

To pass a SOC 2 audit on the first try, a company must do seven things consistently before the audit starts:

  1. Confirm that SOC 2 is the correct report and not SOC 1
  2. Choose the right audit type (Type 1 or Type 2) based on current maturity
  3. Scope the audit narrowly around the primary product and data flows
  4. Build and test a SOC 2 compliance checklist before auditors arrive
  5. Fix common first-attempt killers like access reviews, logging, vendor risk, and incident response
  6. Collect evidence continuously while controls are running
  7. Work with SOC 2 auditors who have experience guiding first-time SaaS audits

Companies that have trouble with their first SOC 2 audit often skip some steps. They may also try to do these steps at the same time as the audit. The sections below walk through each step in detail so you can avoid those mistakes and approach your first SOC 2 audit with confidence.

Why SOC 2 First-Attempt Success Matters

SOC 2 is not a certification. It is an audit performed by an independent third party. The result is a report that customers, partners, and regulators rely on to assess your security posture.

Passing on the first attempt matters because:

  • Failed audits delay sales
  • Remediation increases cost
  • Re-audits consume internal time
  • Credibility with customers can suffer

First-attempt success is about proving your controls are real, consistent, and already in place.

The First-Attempt SOC 2 Framework

Following the below seven steps will set you up to avoid the first‑time mistakes that derail many teams.

Step 1 – SOC 1 vs SOC 2: which report do you need?

Before you spend time or money, you need to understand SOC 1 vs SOC 2 and which one actually matches your business.

What is the difference between SOC 1 and SOC 2?

Here’s the plain‑English version:

  • SOC 1 looks at controls that could impact your customers’ financial statements. It’s aimed at services like payroll processors or financial platforms that directly affect accounting.
  • SOC 2 looks at controls that protect the confidentiality, integrity, and availability of data.
  • It’s aimed at technology, cloud, and SaaS providers that host or process sensitive information.

If you run a SaaS platform, you manage customer data. However, if you do not handle accounting, SOC 2 is often the best option. Choosing the wrong report is a common early mistake that makes teams feel like they “failed” their first attempt before they even start.

First‑attempt tip: Clarify with prospects and internal stakeholders that SOC 2 is the standard you’re pursuing. If someone asks “Do you have SOC 1?” you can explain the difference between SOC 1 and SOC 2 and why SOC 2 is the correct fit for a modern SaaS company.

What about SOC SCI 2?

Some teams come across the term SOC SCI 2 and wonder if it applies to them. In most cases, it does not.

SOC SCI (System and Organization Controls for Systemically Important Entities) is a special framework. It is made for important financial market utilities. These include clearinghouses, payment systems, and large financial infrastructure providers. SOC SCI 2 evaluates the ongoing operational effectiveness of controls for these highly regulated entities.

For SaaS companies and mid-market technology providers, standard SOC 2 is the correct and expected framework. Enterprise buyers outside the financial infrastructure space rarely request SOC SCI 2.

If your customers are asking for SOC 2 and your product does not operate as a core financial market utility, you do not need SOC SCI 2. Pursuing it would significantly increase complexity without providing meaningful additional value to your buyers.

First-attempt tip: If you hear SOC SCI mentioned during sales or procurement conversations, clarify the difference early. In most cases, the request is actually for a standard SOC 2 report.

Step 2 – SOC 2 Type 1 vs Type 2: what’s best for your first audit?

Once you know SOC 2 is the right framework, the next question is SOC 2 Type 1 vs Type 2 for your first audit.

What is SOC 2 Type 1?

SOC 2 Type 1 is a point‑in‑time report. The auditor assesses whether you designed your controls effectively on a specific date. It answers the question: “On this day, did you have reasonable controls in place?”

What is SOC 2 Type 2?

SOC 2 Type 2 is a period‑of‑time report, usually covering 6–12 months. The auditor tests whether you actually operated your controls consistently during that period. It answers: “Over this time window, did you follow your own rules?”

Which SOC 2 type should a first‑time company choose?

For a first attempt:

  • Choose SOC 2 Type 1 if your policies and processes are new and you don’t yet have 6–12 months of clean evidence. It lets you pass sooner and build toward Type 2.
  • Choose SOC 2 Type 2 if you already run mature security practices and can show logs, reviews, and tickets over several months.

First‑attempt tip: A clean Type 1 report is better than an overambitious Type 2 with lots of exceptions. Be realistic about your current maturity so your first SOC 2 experience is a success.

Ready to begin your SOC 2 journey? Make the process easier with our compliance-as-a-service platform!

Step 3 – Narrow your scope so your first SOC 2 audit is winnable

Scoping is where many first‑time SOC 2 projects in the US go off the rails. If you try to include every product and region, you’ll overload your team and extend the audit timeline.

How should a US SaaS company scope its first SOC 2 audit?

Start by mapping where customer data flows in your environment:

  • Your main cloud platform (AWS, Azure, GCP)
  • Your production databases and storage
  • Your CI/CD pipeline and code repositories
  • Identity and access systems (SSO, MFA)
  • Managed devices used by engineers and admins
  • Critical US or global vendors and sub‑processors that store or process customer data

For your first attempt:

  • Focus on your primary revenue‑generating product, not every side tool or experiment.
  • Include the production environment for that product, plus supporting systems that have direct access to customer data.
  • Document which offices, regions, and legal entities are in scope (for example, “US headquarters and US‑based cloud infrastructure”).

First‑attempt tip: Start with a focused scope that still makes sense to customers. In future years, you can add more products, regions, or trust service criteria once you’ve nailed the basics.

Step 4 – Build a SOC 2 compliance checklist and run a readiness assessment

The most reliable way to pass a SOC 2 audit on the first attempt is to treat it like a project and run a “practice audit” ahead of time.

What is a SOC 2 compliance checklist?

A SOC 2 compliance checklist turns the standard into clear tasks your team can own. For a US‑based SaaS or cloud company, your checklist should include:

  • Governance and risk
    • Security policy approved and shared
    • Defined roles and responsibilities
    • At least one risk assessment with documented results
  • Access control
    • SSO and MFA on key systems
    • Role‑based access control
    • Quarterly user access reviews with evidence
  • Change management
    • Code in version control
    • Pull requests and approvals
    • Production changes logged and attributed
  • System security
    • Centralized device management
    • Regular patching and vulnerability scans
    • Baseline configurations for servers and services
  • Vendor management
    • Inventory of critical vendors and sub‑processors
    • Security due diligence (SOC 2, ISO 27001, or similar)
    • Data protection clauses in contracts
  • Data protection
    • Encryption in transit and at rest
    • Backups with documented recovery objectives
    • Data classification and retention rules
  • Logging and monitoring
    • Centralized logs for auth, admin actions, key changes
    • Alerts for risky behavior
    • Defined log retention
  • Incident response
    • Written incident response plan
    • Clear escalation paths and contacts
    • At least one tabletop exercise per year
  • Business continuity
    • Basic business impact analysis
    • DR test results and follow‑up actions
  • HR security
    • Background checks where legally allowed and risk‑appropriate
    • Security training for new hires and annually
    • Documented onboarding and offboarding steps

How to run a SOC 2 readiness assessment

Use your checklist to score each control:

  1. Mark controls as green (in place), yellow (partially in place), or red (missing).
  2. For yellow and red items, ask: “Can we realistically fix this in the next 3–6 months?”
  3. Turn the answers into tickets with owners and due dates.

If you use automation tools like Vanta, Drata, or Secureframe for SOC 2, connect your US cloud accounts. Also, link your SSO provider and ticketing system early. These tools help maintain your SOC 2 compliance checklist, surface gaps, and collect evidence automatically.

Teams use Trava to test their SOC 2 compliance checklist. This helps them check the quality of their evidence. They can also create a realistic plan for a successful first audit.

First‑attempt tip: Treat the readiness assessment like a low‑stakes practice run. The more issues you catch here, the fewer “surprises” you’ll face during your real audit.

Step 5 – Fix the first‑attempt killers: access, logging, vendors, incidents

Some gaps are annoying. Others are “first‑attempt killers” that almost guarantee findings if you ignore them. Focus your energy on the areas auditors pay close attention to.

1. Access management

  • Enforce SSO and MFA for all in‑scope systems.
  • Use role‑based access control so people only have the permissions they need.
  • Run and document quarterly access reviews for production, cloud, and critical tools.

2. Logging and monitoring

  • Centralize security‑relevant logs (logins, admin actions, configuration changes).
  • Configure alerts for brute‑force attempts, privilege changes, and other risky behavior.
  • Set a log retention period that supports investigations and matches customer expectations.

3. Vendor and sub‑processor management

  • Maintain an up‑to‑date list of US and international vendors that handle customer data.
  • Collect security documentation from these vendors (SOC 2, ISO 27001, or similar).
  • Record basic risk ratings and how you monitor them over time.

4. Incident response

  • Create a clear, written incident response plan tailored to your environment.
  • Define who leads, who communicates, and how you decide what to tell customers.
  • Practice with at least one tabletop exercise and save notes from the session.

First‑attempt tip: Aim to have these four areas in good shape before your audit period starts. They are the most common sources of exceptions in first‑time SOC 2 audits.

Why first SOC 2 audits fail even when controls exist

Many first-time SOC 2 audits do not fail because controls are missing. They fail because controls exist, but auditors cannot verify that they were operating correctly for the full audit period.

Common examples include:

  • Access reviews were performed, but only once instead of quarterly
  • Logs were enabled, but retention did not cover the audit window
  • Vendor reviews existed, but lacked documented risk ratings or approvals
  • Incident response plans were written, but never tested
  • Security tools were deployed mid-period, creating gaps in evidence

From an auditor’s perspective, intent does not equal operation. A control that was enabled halfway through the period is treated as if it did not exist for the earlier months.

First-attempt success depends on timing as much as design. Controls must be running long enough to produce consistent, reviewable evidence.

This is why readiness assessments and early remediation matter so much. They shift SOC 2 from a reactive exercise into a predictable, auditable process.

Step 6 – Collect clean evidence while your controls run

Even strong controls can look weak if your evidence is messy. To pass your SOC 2 audit on the first attempt, build simple habits for evidence collection.

How should we collect SOC 2 evidence?

Create a light evidence calendar:

  • Monthly – vulnerability scans, patch reports, key system logs
  • Quarterly – access review records, sample change tickets, vendor reviews
  • Annually – risk assessment, incident response exercise notes, DR test results

Use a clear folder and naming convention, such as:

  • /SOC2/Access-Reviews/2026-Q1-aws-access-review.pdf
  • /SOC2/Incidents/2026-02-10-phishing-tabletop.docx

If you’re using Vanta, Secureframe, or a similar platform, let them pull as much evidence as possible directly from your cloud, HR, and ticketing tools. That way you maintain a living library instead of scrambling right before fieldwork.

First‑attempt tip: Continuous, lightweight evidence collection is much easier than trying to recreate a year’s worth of activity in a week.

Step 7 – Choose SOC 2 auditors and audit firms that understand you

Your choice of SOC 2 auditors and SOC 2 audit firms has a direct impact on your first‑time experience. You want a partner who understands US SaaS businesses and can guide you through the process.

How to choose SOC 2 audit services for a first attempt

Look for:

  • Experience with first‑time SOC 2 audits for SaaS and cloud companies
  • Familiarity with US regulatory expectations and enterprise buyer demands
  • Clear project plans, not just a generic evidence list
  • Ability to work alongside your tooling (including any Vanta Secureframe SOC 2 integration or GRC platform you use)

Ask questions like:

  • “How do you support companies going through SOC 2 for the first time?”
  • “What are the most common first‑time issues you see, and how do you help us avoid them?”
  • “What does a realistic timeline look like for a US‑based SaaS company our size?”

Consider a short readiness or mock audit with your selected firm before the official fieldwork. It’s an opportunity for them to flag any lingering issues and for you to get comfortable with their style.

One advantage of working with a SOC 2 readiness partner like Trava is that you don’t go into auditor selection blind. Trava regularly works alongside SOC 2 audit firms and understands how different auditors approach first-time engagements. That insight helps teams choose auditors who are a good fit for their size, maturity, and goals, and avoid unnecessary friction during fieldwork.

First‑attempt tip: Choose auditors who act like guides, not gatekeepers. Good communication and clear expectations reduce risk on your first SOC 2 attempt.

SOC 2 vs ISO 27001: which is right for your business?

As you build your security program, you’ll hear about ISO 27001 vs SOC 2 and may wonder which to prioritize.

  • SOC 2 is a US‑centric attestation focused on how your controls meet the trust service criteria. It’s the default ask from many North American enterprise customers.
  • ISO 27001 is an international standard for an Information Security Management System and is often requested by European and global buyers.

You don’t have to choose only one:

  • For many US‑based SaaS companies, SOC 2 is the right first step.
  • Once you have a strong SOC 2 program, you can map those controls to ISO 27001 and pursue certification for global expansion.

Design your policies and procedures so they can satisfy both frameworks. That way, today’s SOC 2 work becomes the foundation for future certifications.

What a successful first SOC 2 attempt looks like

Trava helps SaaS companies and mid-market security teams prepare for SOC 2 audits without overbuilding or burning out internal teams.

Trava’s SOC 2 services focus on:

  • SOC 2 readiness assessments and gap analysis
  • Practical, auditor-aligned SOC 2 compliance checklists
  • Evidence review and cleanup before audit fieldwork
  • Guidance on SOC 2 Type 1 vs Type 2 decisions
  • Support working alongside tools like Drata, Vanta, and Secureframe

The goal is not to add more processes. The goal is to ensure that your current controls are strong, well-documented, and ready for an audit right away.

What happens if you don’t pass your SOC 2 audit on the first attempt

Not every first SOC 2 audit results in a perfectly clean report. That does not always mean your audit was a failure, but it does have real implications for sales, security operations, and future audits.

Understanding what actually happens if you don’t pass on the first attempt helps you set realistic expectations and avoid unnecessary panic.

Qualified opinions and exceptions

If auditors find issues, they typically document them as exceptions rather than issuing a complete failure.

Common first-time exceptions include:

  • Access reviews that were not performed on the required schedule
  • Controls that were implemented partway through the audit period
  • Missing or incomplete evidence for specific months
  • Incident response plans that were not tested

These exceptions appear in the final SOC 2 report and are visible to customers who request it.

How customers react to first-time SOC 2 issues

Most enterprise buyers understand that first SOC 2 reports are rarely perfect. What they look for is:

  • Whether the issues are isolated or systemic
  • Whether customer data was ever at risk
  • Whether you have a clear remediation plan

A report with a few clear exceptions and documented steps for fixing them is often better than having no SOC 2 report.

Impact on sales and procurement

Where first-attempt issues can cause friction is during procurement reviews.

Security teams may:

  • Ask follow-up questions about specific exceptions
  • Request timelines for remediation
  • Delay final approval until fixes are completed

This is why many teams aim to minimize exceptions in their first report. Fewer exceptions mean fewer follow-ups, shorter sales cycles, and less back-and-forth with customer security teams.

What happens after the audit

If your first SOC 2 report includes exceptions:

  • You do not “start over”
  • You fix the issues
  • You document remediation
  • You carry improvements into your next audit cycle

In many cases, the second SOC 2 report shows significant improvement and addresses all prior findings.

Want help passing SOC 2 on the first attempt?

Trava helps SaaS companies and mid-market security teams get ready for SOC 2 audits. They prepare before the auditors come.

If you want to see how ready you are, Trava can help. We offer practical advice to close gaps. We also provide support that matches what auditors expect.

Schedule a SOC 2 readiness conversation with Trava to understand where you stand and what it will take to pass your first SOC 2 audit with confidence.

FAQs: how to pass your SOC 2 audit on the first attempt

How far in advance should we start if we want to pass SOC 2 on our first attempt?

Most SaaS companies should plan 6–12 months from kickoff to final report, especially if they’re aiming for a SOC 2 Type 2 report. This gives you time for scoping, readiness, remediation, and evidence collection without burning out your team.

Is it realistic to go straight to SOC 2 Type 2 on the first try?

Yes, if you already operate mature security controls and can show consistent logs, tickets, and reviews over 6–12 months. If you’re still building the basics, start with Type 1 first and move to Type 2 in your second cycle.

Do we need SOC 1 as well as SOC 2?

Most SaaS companies in the United States do not need SOC 1 unless they directly impact their customers’ financial reporting. If prospects ask, explain soc 1 vs soc 2 and why SOC 2 is the right match for a secure cloud platform.

Can tools like Drata, Vanta, or Secureframe guarantee we pass SOC 2?

No tool can guarantee a pass, but platforms like Drata, Vanta, and Secureframe offerings can make preparation much easier. They help automate your SOC 2 compliance checklist, surface gaps in real time, and collect evidence from cloud and SaaS systems so you’re not manually chasing screenshots.

How detailed should our SOC 2 compliance checklist be?

Make it detailed enough so that each control has a clear owner and source of evidence. However, do not make it so detailed that it becomes hard to manage. Use categories such as governance, access, change, security, vendors, data, logging, incidents, continuity, and HR. Then, map each category to 3 to 6 practical tasks.

What happens if we still get exceptions in our first SOC 2 report?

Small exceptions are common and don’t necessarily mean you “failed.” Work with your SOC 2 auditors to understand the root causes, fix them, and track improvements for your next audit. Many US customers care more about your remediation plan than having a perfect first report.

Questions?

We can help! Talk to the Trava Team and see how we can assist you with your cybersecurity needs.

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