With twelve people, a working SaaS product, and an expanding customer base, your startup is off to a good start. No one in the company holds “compliance manager” in their job title, even though security matters. Then a would-be enterprise customer requests a SOC 2 report.
Where do you begin?
For founders researching how to get SOC 2 certification, the answer isn’t to download dozens of policies immediately. A handful of choices decides what your company needs to document, put in place, and prove, and that is where to start.
Decide What Your First SOC 2 Audit Should Cover
The AICPA Trust Services Criteria serve as the standard that SOC 2 assesses controls against. Security, Availability, Confidentiality, Processing Integrity, and Privacy are the categories they cover. Of these, only Security is required. The remaining categories are included when 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, list the applications, infrastructure, employees, and service providers involved. A broader scope brings additional work, but not necessarily a more valuable report.
Type 1 or Type 2? Let the Deadline Decide
Anybody wondering how to get SOC 2 certified will soon meet two reporting options. Type 1 evaluates the design of controls as of a specified date. Over a defined period, Type 2 evaluates both their design and operating effectiveness. If an enterprise customer needs evidence fast, Type 1 may be a useful starting point, as long as the customer accepts it.
The process for how to get SOC 2 type 2 certification starts with an observation period, commonly three to twelve months, followed by an independent examination. You do not have to finish Type 1 ahead of Type 2. Make sure you know what your customer requires before committing to either examination.
Tackle the Day-to-Day Security Gaps Before Anything Else
If security controls are connected to everyday business activities, SOC 2 preparation gets more manageable. For instance, require multi-factor authentication for important accounts, set up a documented employee offboarding process, and review access permissions regularly.
Retain evidence of production changes and approvals within the engineering team. Risk assessments and relevant supplier reviews should be recorded by management. What employees actually do must be reflected in your policies. There is limited value in a well-written procedure that no one follows.
Get Your Evidence Organized Before the Auditor Asks
Demonstrating that relevant controls exist and, for Type 2, operate consistently is the heart 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 far harder than gathering them as activities occur. Small teams can manage this work with CertAssist’s built-in controls, editable policy templates, evidence checklists, and document storage.
There is no need for direct integrations with company systems. Teams add evidence themselves and can give auditors read-only access.
Understand Exactly What the Independent Audit Involves
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.
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, ask for 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 shouldn’t be the end of your security work. As time passes, people join and leave, applications change, and new suppliers join your operations. Controls have to remain relevant.
Assign clear responsibilities, retain evidence throughout the year, and regularly 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.