Your startup employs twelve employees, a live SaaS product, and a growing customer base. Nobody on the team has “compliance manager” in their job title, although security matters. A potential enterprise customer then requests a SOC 2 report.
Where do you start?
Downloading dozens of policies immediately isn’t the answer for founders researching how to get SOC 2 certification. Instead, begin by making a few choices that define what your company needs to document, put in place, and prove.
Define the Scope of Your First Audit
The AICPA Trust Services Criteria are what SOC 2 assesses controls against. There are five categories: Security, Availability, Confidentiality, Processing Integrity, and Privacy. Of these, only Security is required. Add the other categories only when they are relevant to the organization’s services and commitments. As long as that scope meets customer expectations, a startup running a straightforward business application may begin with Security alone.
The applications, infrastructure, employees, and service providers involved should be identified before collecting evidence. Keeping the scope overly broad creates additional work, and it doesn’t necessarily increase the report’s value.
Type 1 or Type 2? Let the Deadline Decide
Anyone wondering how to get SOC 2 certified quickly finds two reporting options. The design of controls as of a specified date is what Type 1 covers. Type 2 goes further, evaluating design and operating effectiveness over a defined period. Type 1 may be a useful starting point when an enterprise customer needs evidence fast, 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 2 doesn’t depend on a Type 1 report first. Before paying for either examination, confirm your customer’s requirements.
Begin With Everyday Security Gaps
When security controls are linked to everyday business activities, SOC 2 preparation becomes more manageable. Good first steps include requiring 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 engineering teams. Risk assessments and relevant supplier reviews should be documented by leadership. Policies must reflect what employees actually do. When nobody follows it, even a beautifully written procedure offers 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 about 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 later. CertAssist helps small teams manage this work using built-in controls, editable policy templates, evidence checklists, and document storage.
The platform does not require direct integrations with company systems. Auditors can be provided with read-only access, while teams upload evidence themselves.
Understand the Independent Audit Requirement
SOC 2 is in fact an attestation, not a certification. The SOC 2 report is issued by a licensed CPA firm that performs the examination. Compliance software helps 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. Independent audit fees are not included. 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 shouldn’t be the end of your security work. Your operations keep changing: people join and leave, applications change, and new suppliers appear. Your controls need to stay relevant.
Assign clear responsibilities, retain evidence throughout the year, and periodically review whether your documented procedures match reality. For a growing startup, keeping this up makes future examinations easier and helps meet the security expectations of customers who depend on your software.