Imagine a startup with twelve people, a working SaaS product, and a growing customer base. No one on the team has “compliance manager” in their job title, although security is important. Then, a potential enterprise customer requests a SOC 2 report.
What exactly should you do first?
Grabbing dozens of policies right away isn’t the answer for founders researching how to get SOC 2 certification. A handful of choices defines what your company needs to document, implement, and prove, and that is where to start.
Begin by Defining What Your First Audit Will Cover
The AICPA Trust Services Criteria are what SOC 2 evaluates controls against. The criteria are organized into five categories: Security, Availability, Confidentiality, Processing Integrity, and Privacy. Every SOC 2 report includes Security. The remaining categories are added when they are relevant to the organization’s services and commitments. A startup running a straightforward business application may begin with Security alone, so long as that scope meets customer expectations.
The applications, infrastructure, employees, and service providers involved should be listed before collecting evidence. Keeping the scope overly broad creates extra work, and it doesn’t necessarily improve the report’s value.
Choose the Report Type Your Deadline Allows
There are two reporting options for people researching how to get SOC 2 certified. At a specified date, Type 1 evaluates the design of controls. Throughout a defined period, Type 2 examines both the controls’ design and operating effectiveness. Type 1 may be a useful first step when an enterprise customer needs evidence fast, assuming the customer accepts it.
Anyone exploring how to get SOC 2 type 2 certification should expect an observation period, typically three to twelve months, followed by an independent examination. Type 2 doesn’t require a Type 1 report first. Find out what your customer requires before paying for either examination.
Start With Day-to-Day Security Gaps
If security controls are linked to ordinary business activities, SOC 2 preparation becomes more manageable. A sensible place to start is enforcing multi-factor authentication for important accounts, establishing a documented employee offboarding process, and reviewing access permissions regularly.
Retain evidence of production changes and approvals within the development team. Record risk assessments and relevant supplier reviews at the management level. What employees actually do needs to be reflected in your policies. There is limited value in a beautifully written procedure that no one follows.
Collect Evidence as You Go
SOC 2 for saas companies involves demonstrating that relevant controls exist and, for Type 2, operate consistently. An auditor may well ask about when a former employee’s access was removed or whether a production deployment received appropriate approval.
Reconstructing these records months later is harder than collecting them as activities occur. Small teams that need help 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 upload evidence themselves and can provide auditors with read-only access.
Understand the Independent Audit Requirement
Strictly speaking, SOC 2 is an attestation rather than a certification. The SOC 2 report is issued by a licensed CPA firm that performs the examination. Compliance software can help prepare and organize evidence, but it cannot replace the independent auditor.
A monthly promotional subscription of US$225 covering SOC 2, ISO 27001, and its other supported frameworks is offered by CertAssist. Independent audit fees are separate. Get an auditor’s quote based on your business size, selected criteria, and intended reporting period before budgeting.
Keep the Process Manageable After Your First Report
A completed SOC 2 examination shouldn’t mark the end of your security efforts. Employees join and leave, applications change, and new suppliers become part of your operations. Your controls need to remain 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.