With twelve team members, a functioning SaaS product, and a growing customer base, your startup is moving in the right direction. Everyone cares about security, though nobody has “compliance manager” in their job title. One day, a prospective enterprise customer requests a SOC 2 report.
Where do you start?
Downloading dozens of policies right away isn’t the first step for founders researching how to get SOC 2 certification. The real first step is to make a few choices that decide what your company needs to document, put in place, and prove.
Start by Deciding What Your First Audit Will Cover
Controls are evaluated against the AICPA Trust Services Criteria in a SOC 2 audit. The criteria include Security, Availability, Confidentiality, Processing Integrity, and Privacy. Security is mandatory. The other areas 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, provided that scope meets customer expectations.
Before collecting evidence, identify the applications, infrastructure, employees, and service providers involved. Keeping the scope unnecessarily broad creates additional work, but it doesn’t necessarily increase the report’s usefulness.
Choose the Report That Matches Your Deadline
Anybody wondering how to get SOC 2 certified quickly finds two reporting options. The design of controls at a specified date is what Type 1 covers. Type 2 examines those controls’ design and operating effectiveness throughout a defined period. If an enterprise customer needs evidence fast, Type 1 may be a useful starting point, as long as the customer accepts it.
The process for how to get SOC 2 type 2 certification begins with an observation period, commonly three to twelve months, followed by an independent examination. Type 1 is not a mandatory prerequisite for Type 2. Find out what your customer requires before you pay for either examination.
Begin With Everyday Security Gaps
Tying security controls to everyday business activities makes SOC 2 preparation easier to manage. Think of enforcing 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. Management should record risk assessments and relevant supplier reviews. Write policies that reflect what employees actually do. A well-written procedure provides limited value if nobody follows it.
Collect Evidence While Things Are Happening
SOC 2 for saas companies involves demonstrating that relevant controls exist and, for Type 2, operate consistently. An auditor may 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 easier than reconstructing them months afterward. 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 add evidence themselves and can provide auditors with 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. The independent auditor cannot be replaced by compliance software, though it helps prepare and organize evidence.
CertAssist offers a US$225 monthly promotional subscription covering SOC 2, ISO 27001, and its other supported frameworks. Independent audit fees are billed separately. Before budgeting, get an auditor’s quote based on your business size, selected criteria, and intended reporting period.
Make Compliance Manageable After the First Report
Finishing a SOC 2 examination shouldn’t be the end of your security activities. Team members join and leave, applications change, and new suppliers become part of your operations. Your controls need to remain relevant.
Make sure each responsibility has a clear owner, 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.