Imagine a startup that has twelve employees, a functioning SaaS product, and an expanding customer base. Nobody on the team has “compliance manager” in their job title, but security is important. Then a would-be enterprise customer requests a SOC 2 report.
So where should you start?
Grabbing dozens of policies immediately is not the answer for founders researching how to get SOC 2 certification. Begin by making a few decisions that define what your company needs to document, implement, and prove.
Start by Defining What Your First Audit Will Cover
Your controls are evaluated against the AICPA Trust Services Criteria in a SOC 2 examination. The criteria are organized into five categories: Security, Availability, Confidentiality, Processing Integrity, and Privacy. Only Security is required. The remaining categories are included when they are relevant to the organization’s services and commitments. For a startup running a straightforward business application, starting with Security alone may be enough, provided that scope meets customer expectations.
Before collecting evidence, list the applications, infrastructure, employees, and service providers involved. An overly broad scope adds additional work without necessarily increasing the report’s value.
Choose the Report That Matches Your Deadline
People searching for how to get SOC 2 certified frequently discover two reporting options. At a specified date, Type 1 evaluates the design of controls. Over a defined period, Type 2 examines both the controls’ design and operating effectiveness. When an enterprise customer needs evidence quickly, Type 1 can be a practical starting point, 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. You don’t have to get Type 1 before Type 2. Verify your customer’s requirements before paying for either examination.
Fix the Day-to-Day Security Gaps Before Anything Else
SOC 2 preparation becomes more manageable when security controls are linked to everyday business activities. A sensible place to start is enforcing multi-factor authentication for important accounts, setting up a documented employee offboarding process, and reviewing access permissions on a regular basis.
Retain evidence of production changes and approvals inside the development team. Record risk assessments and relevant supplier reviews at the leadership level. Policies must describe what employees actually do. A polished procedure offers limited value if nobody follows it.
Organize Evidence Before It Becomes a Problem
Showing that relevant controls exist and, for Type 2, operate consistently is the heart of SOC 2 for saas companies. Expect an auditor to ask about when a former employee’s access was removed or whether a production deployment received appropriate approval.
Reconstructing these records months later is much harder than collecting them as activities occur. Small teams that need help 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. Auditors can be provided with read-only access, while teams upload evidence themselves.
Understand the Independent Audit Requirement
SOC 2 is formally an attestation, not a certification. A licensed CPA firm conducts the examination and issues the SOC 2 report. Compliance software can help prepare and organize evidence, but it cannot replace the independent auditor.
A monthly promotional subscription of US$225 that covers SOC 2, ISO 27001, and its other supported frameworks is offered by CertAssist. Independent audit fees are separate. An auditor’s quote based on your business size, selected criteria, and intended reporting period should come first.
What Happens After Your First SOC 2 Report
Finishing a SOC 2 examination isn’t the end of your security efforts. People join and leave, applications change, and new suppliers become part of your operations. Your controls need to stay relevant.
Three habits keep things on track: setting clear responsibilities, retaining evidence throughout the year, and regularly reviewing whether your documented procedures match reality. As your startup grows, keeping this up makes future examinations easier and supports the security expectations of customers who depend on your software.