Imagine a startup with twelve people, a functioning SaaS product, and an expanding customer base. People take security seriously, yet no one has “compliance manager” in their job title. Then a potential enterprise customer wants to see a SOC 2 report.
What exactly do you do next?
Grabbing dozens of policies right away is not the first step for founders researching how to get SOC 2 certification. The real first step is to make a few choices that define what your company needs to document, implement, and prove.
Settle the Scope of Your First Audit
The AICPA Trust Services Criteria are what SOC 2 assesses controls against. The criteria are organized into five categories: Security, Availability, Confidentiality, Processing Integrity, and Privacy. Security is mandatory. Whether the other categories are included depends on whether they’re relevant to the organization’s services and commitments. As long as that scope meets customer expectations, a startup running a straightforward business application may start with Security alone.
Before collecting evidence, list the applications, infrastructure, employees, and service providers involved. More scope means additional work, though not always a more useful report.
Type 1 vs. Type 2? Let the Deadline Decide
There are two reporting options for anyone researching how to get SOC 2 certified. The design of controls at a specified date is what Type 1 covers. Type 2 evaluates their design and operating effectiveness throughout a defined period. Type 1 may be a useful first step 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. You don’t have to complete Type 1 before Type 2. Check your customer’s requirements before paying for either examination.
Begin With Everyday Security Basics
SOC 2 preparation gets more manageable when security controls are connected to everyday business activities. Good first steps include enforcing multi-factor authentication for important accounts, establishing a documented employee offboarding process, and reviewing access permissions regularly.
Keep evidence of production changes and approvals inside the development team. Management should document risk assessments and relevant supplier reviews. Policies must describe what employees actually do. There is limited value in a polished procedure that nobody follows.
Gather Evidence While Things Are Happening
SOC 2 for saas companies comes down to demonstrating that relevant controls exist and, for Type 2, operate consistently. Expect an auditor to ask when a former employee’s access was removed or whether a production deployment received appropriate approval.
Reconstructing these records months later is far harder than collecting 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’s no need for direct integrations with company systems. Teams upload evidence themselves and can give auditors read-only access.
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 can help prepare and organize evidence, but it can’t replace the independent auditor.
CertAssist promotes a US$225 monthly promotional subscription that includes SOC 2, ISO 27001, and its other supported frameworks. Independent audit fees are separate. Before budgeting, request an auditor’s quote based on your business size, selected criteria, and intended reporting period.
Keep the Process Manageable After Your First Report
A completed SOC 2 examination shouldn’t mark the end of your security work. Things keep changing: people join and leave, applications change, and new suppliers arrive. It’s important that your controls stay 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.