Picture a startup that has twelve employees, a working SaaS product, and an expanding customer base. Nobody in the company holds “compliance manager” in their job title, but security is important. Then a potential enterprise customer asks for a SOC 2 report.
What do you do first?
For founders researching how to get SOC 2 certification, the answer isn’t to download dozens of policies immediately. What matters is to make a few choices that decide what your company needs to document, implement, and prove.
Define the Scope of Your First SOC 2 Audit
The AICPA Trust Services Criteria are what SOC 2 evaluates controls against. The criteria cover Security, Availability, Confidentiality, Processing Integrity, and Privacy. Only Security is mandatory. Inclusion of the other categories depends on whether they’re relevant to the organization’s services and commitments. A startup offering a straightforward business application may begin with Security alone, provided 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 or Type 2? Let the Deadline Choose
People searching for how to get SOC 2 certified often discover two reporting options. The design of controls as of a specified date is what Type 1 examines. Over a defined period, Type 2 examines both their design and operating effectiveness. Where an enterprise customer needs evidence fast, Type 1 may be a useful starting point, if 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. Type 1 isn’t a mandatory prerequisite for Type 2. Check your customer’s requirements before paying for either examination.
Start With Day-to-Day Security Basics
Connecting security controls to everyday business activities makes SOC 2 preparation easier to manage. Good first steps include enforcing multi-factor authentication for important accounts, establishing a documented employee offboarding process, and reviewing access permissions on a regular basis.
Evidence of production changes and approvals should be kept by development teams. Management should keep records of risk assessments and relevant supplier reviews. Policies must describe what employees actually do. A beautifully written procedure has limited value if nobody follows it.
Organize Evidence Before It Becomes a Problem
SOC 2 for saas companies involves demonstrating that relevant controls exist and, for Type 2, operate consistently. An auditor might request records showing when a former employee’s access was removed or whether a production deployment received appropriate approval.
It’s easier to collect these records as activities occur than to reconstruct them months afterward. Through built-in controls, editable policy templates, evidence checklists, and document storage, CertAssist supports small teams manage this work.
The platform does not require direct integrations with company systems. Auditors can be given read-only access, while teams upload evidence themselves.
Understand the Independent Audit Requirement
Strictly speaking, SOC 2 is an attestation rather than a certification. A licensed CPA firm performs the examination and issues the SOC 2 report. The independent auditor cannot be replaced by compliance software, though it can help prepare and organize evidence.
A US$225 monthly promotional subscription that covers SOC 2, ISO 27001, and its other supported frameworks is advertised by CertAssist. Fees for the independent audit are separate. Before budgeting, ask for an auditor’s quote based on your business size, selected criteria, and intended reporting period.
What Happens After Your First SOC 2 Report
Security work shouldn’t stop when the SOC 2 examination is finished. As time passes, employees join and leave, applications change, and new suppliers become part of your operations. Your controls have to remain relevant.
Assign clear responsibilities, retain evidence throughout the year, and regularly review whether your documented procedures match reality. As your startup grows, keeping this up makes future examinations easier and helps meet the security expectations of customers who depend on your software.