With twelve people, a functioning SaaS product, and an expanding customer base, your startup is well on its way. No one on the team holds “compliance manager” in their job title, although security matters. Then a would-be 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. A handful of choices defines what your company needs to document, implement, and prove, and that is where to start.
Settle the Scope of Your First Audit
Controls are assessed using the AICPA Trust Services Criteria in a SOC 2 examination. Security, Availability, Confidentiality, Processing Integrity, and Privacy are the categories they cover. Security is the one required category. Whether the other categories are included depends on whether they’re relevant to the organization’s services and commitments. Provided that scope meets customer expectations, a startup offering a straightforward business application may start with Security alone.
Map out the applications, infrastructure, employees, and service providers involved prior to collecting evidence. An overly broad scope adds additional work without necessarily improving the report’s usefulness.
Type 1 or Type 2? Let the Deadline Choose
There are two reporting options for anyone searching for how to get SOC 2 certified. The design of controls as of a specified date is what Type 1 evaluates. Type 2 goes further, examining 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, usually three to twelve months, followed by an independent examination. Type 1 is not a mandatory prerequisite for Type 2. Confirm your customer’s requirements before paying for either examination.
Tackle the Day-to-Day Security Gaps Before Anything Else
If security controls are linked to everyday business activities, SOC 2 preparation becomes more manageable. Think of requiring multi-factor authentication for important accounts, establishing a documented employee offboarding process, and reviewing access permissions regularly.
Evidence of production changes and approvals should be retained by development teams. Leadership should document risk assessments and relevant supplier reviews. Policies must match what employees actually do. If nobody follows it, even a beautifully written procedure provides limited value.
Gather Evidence as You Go
SOC 2 for saas companies involves demonstrating that relevant controls exist and, for Type 2, operate consistently. You might be asked for records showing when a former employee’s access was removed or whether a production deployment received appropriate approval.
It’s easier to gather these records as activities occur than to rebuild them months afterward. CertAssist assists small teams organize this work using built-in controls, editable policy templates, evidence checklists, and document storage.
The platform doesn’t require direct integrations with company systems. Teams upload evidence themselves and can give auditors 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 conducts the examination. Compliance software can help prepare and organize evidence, yet 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 not included. A quote from an auditor based on your business size, selected criteria, and intended reporting period is worth getting before budgeting.
Keep the Process Manageable After Your First Report
Security work shouldn’t stop once the SOC 2 examination is completed. Things keep changing: people join and leave, applications change, and new suppliers arrive. Controls must remain relevant.
Make sure responsibilities are clearly assigned, evidence is retained throughout the year, and documented procedures are reviewed periodically against reality. For a growing startup, that discipline makes future examinations easier while supporting the security expectations of customers who depend on your software.
