Your startup employs twelve employees, a working SaaS product, and an expanding customer base. Nobody at the company holds “compliance manager” in their job title, even though security matters. Then, a prospective enterprise customer requests a SOC 2 report.
Where do you start?
For founders researching how to get SOC 2 certification, the first step is not to download dozens of policies immediately. Begin by making a few choices that decide what your company needs to document, put in place, and prove.
Define the Scope of Your First SOC 2 Audit
SOC 2 evaluates controls against the AICPA Trust Services Criteria. The criteria address Security, Availability, Confidentiality, Processing Integrity, and Privacy. Only Security is mandatory. Include the other categories only when they’re relevant to the organization’s services and commitments. A startup offering a straightforward business application may begin with Security alone, so long as that scope meets customer expectations.
Before you collect any evidence, list the applications, infrastructure, employees, and service providers involved. A broader scope brings extra work, though not always a more valuable report.
Type 1 or Type 2? Let the Deadline Decide
People searching for how to get SOC 2 certified frequently find two reporting options. As of a specified date, Type 1 examines the design of controls. Type 2 covers those controls’ design and operating effectiveness over a defined period. Where an enterprise customer needs evidence quickly, Type 1 can be a practical place to start, if the customer accepts it.
For businesses investigating how to get SOC 2 type 2 certification, the process includes an observation period, commonly three to twelve months, followed by an independent examination. Type 1 isn’t a mandatory prerequisite for Type 2. Verify your customer’s requirements before paying for either examination.
Fix Everyday Security Gaps First
Tying security controls to everyday business activities helps make SOC 2 preparation easier to manage. Consider enforcing multi-factor authentication for important accounts, establishing a documented employee offboarding process, and reviewing access permissions regularly.
Development teams should keep evidence of production changes and approvals. Management should keep records of risk assessments and relevant supplier reviews. Write policies that describe what employees actually do. When nobody follows it, even a well-written procedure offers limited value.
Keep Your Evidence Organized Before Problems Start
Demonstrating that relevant controls exist and, for Type 2, operate consistently is what lies at the core of SOC 2 for saas companies. An auditor might ask for records showing when a former employee’s access was removed or whether a production deployment received appropriate approval.
Rebuilding these records months later is much harder than collecting them as activities occur. Small teams can organize this work with CertAssist’s built-in controls, editable policy templates, evidence checklists, and document storage.
Direct integrations with company systems aren’t required. Teams upload evidence themselves and can provide auditors with read-only access.
Why SOC 2 Requires an Independent Auditor
Technically, SOC 2 is an attestation rather than a certification. The examination is conducted by a licensed CPA firm, which then issues the SOC 2 report. Compliance software can help prepare and organize evidence, but it cannot replace the independent auditor.
For the software, CertAssist offers a US$225 monthly promotional subscription that covers SOC 2, ISO 27001, and its other supported frameworks. Fees for the independent audit are charged separately. Before budgeting, get an auditor’s quote based on your business size, selected criteria, and intended reporting period.
What Happens After the First SOC 2 Report
Finishing a SOC 2 examination isn’t the end of your security work. Your operations keep changing: employees join and leave, applications change, and new suppliers arrive. It’s important that your controls stay relevant.
Three habits keep things on track: setting clear responsibilities, retaining evidence throughout the year, and periodically reviewing whether your documented procedures match reality. For a growing startup, that discipline makes future examinations easier while supporting the security expectations of customers who depend on your software.