Imagine a startup with twelve people, a functioning SaaS product, and an expanding customer base. Security matters, but not one person holds “compliance manager” in their job title. A potential enterprise customer then requests a SOC 2 report.
So where should you begin?
Downloading dozens of policies immediately isn’t the first step for founders researching how to get SOC 2 certification. A handful of decisions defines what your company needs to document, put in place, and prove, and that is where to start.
Settle the Scope of Your First Audit
Controls are assessed using the AICPA Trust Services Criteria in a SOC 2 examination. These include Security, Availability, Confidentiality, Processing Integrity, and Privacy. Security is required. Whether the other categories are included depends on whether they’re relevant to the organization’s services and commitments. Provided that scope meets customer expectations, a startup with a straightforward business application may begin with Security alone.
Identify the applications, infrastructure, employees, and service providers involved prior to collecting evidence. A broader scope brings extra work, but not always a more valuable report.
Choose the Report Type That Fits Your Timeline
People searching for how to get SOC 2 certified often discover two reporting options. The design of controls at a specified date is what Type 1 examines. Type 2 examines their design and operating effectiveness throughout a defined period. Type 1 may be a useful first step when an enterprise customer needs evidence quickly, provided 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 is not a mandatory prerequisite for Type 2. Before paying for either examination, verify your customer’s requirements.
Tackle the Day-to-Day Security Gaps Before Anything Else
SOC 2 preparation becomes more manageable when security controls are connected to existing business activities. For example, require multi-factor authentication for important accounts, create a documented employee offboarding process, and review access permissions on a regular basis.
Retain evidence of production changes and approvals inside the development team. Risk assessments and relevant supplier reviews should be recorded by management. Policies must describe what employees actually do. A beautifully written procedure has limited value if nobody follows it.
Get Your Evidence Organized Before Problems Start
Showing that relevant controls exist and, for Type 2, operate consistently is central to SOC 2 for saas companies. You may be asked for records showing 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 later. Small teams that need help can manage this work with CertAssist’s built-in controls, editable policy templates, evidence checklists, and document storage.
There’s no need for direct integrations with company systems. Auditors can be given read-only access, while teams upload evidence themselves.
Why You Still Need an Independent Auditor
Technically, SOC 2 is an attestation rather than a certification. A licensed CPA firm carries out the examination and 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. Independent audit fees are billed separately. Before budgeting, get an auditor’s quote based on your business size, selected criteria, and intended reporting period.
Keep the Process Manageable After Your First Report
Finishing a SOC 2 examination isn’t the end of your security efforts. Over time, people join and leave, applications change, and new suppliers join your operations. It’s important that your controls remain relevant.
Define clear responsibilities, retain evidence throughout the year, and periodically review 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.