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, although security matters. A potential enterprise customer suddenly requests a SOC 2 report.
So where should you begin?
For founders researching how to get SOC 2 certification, the answer isn’t to download dozens of policies immediately. A handful of decisions determines what your company needs to document, implement, and prove, and that is where to start.
Define the Scope of Your First Audit
Controls are assessed using the AICPA Trust Services Criteria in a SOC 2 examination. Security, Availability, Confidentiality, Processing Integrity, and Privacy are the categories they cover. Every report includes Security. The remaining areas are included when they are relevant to the organization’s services and commitments. A startup with a straightforward business application may begin with Security alone, so long as that scope meets customer expectations.
Before you collect any evidence, identify the applications, infrastructure, employees, and service providers involved. An overly broad scope creates additional work without necessarily increasing the report’s usefulness.
Type 1 vs. Type 2? Let the Deadline Choose
There are two reporting options for anyone searching for how to get SOC 2 certified. Type 1 examines the design of controls as of a specified date. Type 2 goes further, examining both design and operating effectiveness over a defined period. Type 1 may be a useful first step when an enterprise customer needs evidence fast, assuming the customer accepts it.
For businesses investigating how to get SOC 2 type 2 certification, the process includes an observation period, usually three to twelve months, followed by an independent examination. You don’t have to complete Type 1 ahead of Type 2. Confirm your customer’s requirements before paying for either examination.
Fix the Day-to-Day Security Gaps First
Connecting security controls to ordinary business activities helps make SOC 2 preparation easier to manage. A sensible place to start is enforcing multi-factor authentication for important accounts, setting up a documented employee offboarding process, and reviewing access permissions regularly.
Evidence of production changes and approvals should be retained by developers. Company leadership should document risk assessments and relevant supplier reviews. What employees actually do must be reflected in your policies. When nobody follows it, even a beautifully written procedure has limited value.
Organize Evidence Before It Becomes a Problem
Demonstrating that relevant controls exist and, for Type 2, operate consistently is the heart of SOC 2 for saas companies. Expect an auditor to ask when a former employee’s access was removed or whether a production deployment received appropriate approval.
Gathering these records as activities occur is much easier than reconstructing them months afterward. CertAssist supports small teams manage this work with built-in controls, editable policy templates, evidence checklists, and document storage.
There’s no need for direct integrations with company systems. Evidence is uploaded by the team, and auditors can be given read-only access.
Understand Exactly What the Independent Audit Involves
SOC 2 is technically an attestation, not a certification. The SOC 2 report is issued by a licensed CPA firm that conducts the examination. Compliance software can help prepare and organize evidence, yet it can’t replace the independent auditor.
A US$225 monthly promotional subscription that covers SOC 2, ISO 27001, and its other supported frameworks is offered by CertAssist. Audit fees are charged separately. Before budgeting, get an auditor’s quote based on your business size, selected criteria, and intended reporting period.
What Comes After the First SOC 2 Report
Finishing a SOC 2 examination isn’t the end of your security activities. Things keep changing: employees join and leave, applications change, and new suppliers arrive. Your controls have to stay relevant.
Set clear responsibilities, retain evidence throughout the year, and periodically review 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.