Your startup counts twelve people, a live SaaS product, and an expanding customer base. Nobody on the team has “compliance manager” in their job title, even though security is important. A prospective enterprise customer suddenly requests a SOC 2 report.
So where do you start?
If you’re a founder researching how to get SOC 2 certification, resist the urge to grab dozens of policies right away. The better move is to make a few decisions that define what your company needs to document, implement, and prove.
Settle the Scope of Your First SOC 2 Audit
Your controls are evaluated against the AICPA Trust Services Criteria in a SOC 2 audit. Security, Availability, Confidentiality, Processing Integrity, and Privacy are the areas they cover. Only Security is required. The other categories are included when they’re relevant to the organization’s services and commitments. A startup with a straightforward business application may begin with Security alone, so long as that scope meets customer expectations.
Map out the applications, infrastructure, employees, and service providers involved prior to collecting evidence. An unnecessarily broad scope brings additional work without necessarily improving the report’s usefulness.
Type 1 vs. Type 2? Let the Deadline Decide
Anybody asking how to get SOC 2 certified quickly finds two reporting options. Type 1 evaluates the design of controls as of a specified date. Type 2 evaluates their design and operating effectiveness across a defined period. If an enterprise customer needs evidence quickly, Type 1 may be a useful first step, 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 ahead of Type 2. Make sure you know what your customer requires before paying for either examination.
Tackle the Everyday Security Gaps Before Anything Else
When security controls are tied to ordinary business activities, SOC 2 preparation gets more manageable. For example, enforce multi-factor authentication for important accounts, establish a documented employee offboarding process, and review access permissions regularly.
Keep evidence of production changes and approvals inside the development team. Document risk assessments and relevant supplier reviews at the leadership level. What employees actually do must be described in the policies. A polished procedure provides limited value if nobody follows it.
Get Your Evidence Organized Before Problems Start
Demonstrating that relevant controls exist and, for Type 2, operate consistently is central to 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.
Collecting these records as activities occur is much easier than reconstructing them months afterward. Small teams that need help can organize this work with CertAssist’s built-in controls, editable policy templates, evidence checklists, and document storage.
The platform does not require direct integrations with company systems. Auditors can be given read-only access, while teams upload evidence themselves.
Understand What the Independent Audit Requires
The outcome of SOC 2 is technically an attestation, not a certification. A licensed CPA firm performs the examination and issues the SOC 2 report. Compliance software can help prepare and organize evidence, yet it cannot replace the independent auditor.
CertAssist promotes a US$225 monthly promotional subscription that includes SOC 2, ISO 27001, and its other supported frameworks. The independent audit is a separate cost. Request an auditor’s quote that reflects your business size, selected criteria, and intended reporting period before budgeting.
Make Compliance Sustainable After Your First Report
Your security work should not end once the SOC 2 examination is completed. Over time, people join and leave, applications change, and new suppliers join your operations. Your controls need to stay relevant.
Assign clear responsibilities, retain evidence throughout the year, and periodically review whether your documented procedures match reality. As your startup grows, keeping this up will make future examinations easier and supports the security expectations of customers who depend on your software.