Addressing exceptions

Gaining your SOC 2 Attestation

Evidence collection Documentation and reporting of compliance External audit Addressing exceptions First-time attestation Repeat attestations Business expansion

Even with solid preparation, most SOC 2 audits reveal a few control exceptions. These are normal and manageable.

Auditors categorize these exceptions into two types:

Major exceptions: Significant control failures that could impact achieving your control objectives. These need immediate remediation and may affect the auditor’s opinion.
Minor exceptions: One-off issues or lapses that don’t compromise the integrity of your system. Still need fixing, but they’re unlikely to derail your report.

When an exception is found, your auditor will flag it during the testing phase. You’ll have a chance to respond, provide clarification, or fix the issue before the final report is issued.

For each exception in your final report, you’ll have the opportunity to provide a management response. This should acknowledge the finding, explain root causes, detail corrective actions taken or planned, and specify timelines for implementation.

First-time attestation

The Sprinto advantage

The SOC 2 certification process can feel overwhelming. Sprinto simplifies this journey by automating up to 80% of the work, making it up to 5X faster and saving up to 60% of costs. Beyond just passing the audit, it maintains continuous compliance through real-time monitoring of security controls with 200+ integrations.

With Sprinto doing the heavy lifting, you can focus on growing your business with the confidence that your security and compliance are always one step ahead.

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