Imagine a startup with twelve people, a functioning SaaS product, and a growing customer base. People take security seriously, though no one holds “compliance manager” as a job title. A potential enterprise customer suddenly asks for a SOC 2 report.
What exactly should you do first?
For founders researching how to get SOC 2 certification, the answer isn’t to download dozens of policies immediately. The better move is to make a few choices that decide what your company needs to document, put in place, and prove.
Decide What Your First SOC 2 Audit Should Cover
The AICPA Trust Services Criteria serve as the standard that SOC 2 evaluates controls against. The criteria are organized into five categories: Security, Availability, Confidentiality, Processing Integrity, and Privacy. Only Security is required. The remaining areas are included when they’re relevant to the organization’s services and commitments. If a startup is running a straightforward business application, starting with Security alone can work, provided that scope meets customer expectations.
Before collecting evidence, identify the applications, infrastructure, employees, and service providers involved. Keeping the scope unnecessarily broad creates extra work, but it doesn’t necessarily increase the report’s value.
Type 1 vs. Type 2? Let the Deadline Decide
Anybody wondering how to get SOC 2 certified will soon meet two reporting options. At a specified date, Type 1 evaluates the design of controls. Type 2 examines their design and operating effectiveness throughout a defined period. Type 1 may be a useful starting point when an enterprise customer needs evidence quickly, assuming the customer accepts it.
Businesses investigating how to get SOC 2 type 2 certification should expect an observation period, typically three to twelve months, and then an independent examination. Type 1 isn’t a mandatory prerequisite for Type 2. Before paying for either examination, confirm your customer’s requirements.
Start With Day-to-Day Security Basics
SOC 2 preparation is more manageable when security controls are tied to everyday business activities. For instance, require multi-factor authentication for important accounts, set up a documented employee offboarding process, and review access permissions on a regular basis.
Evidence of production changes and approvals should be kept by engineering teams. Management should keep records of risk assessments and relevant supplier reviews. Write policies that reflect what employees actually do. There is limited value in a beautifully written procedure that nobody follows.
Organize Evidence Before It Becomes a Problem
Demonstrating that relevant controls exist and, for Type 2, operate consistently is what lies at the core of SOC 2 for saas companies. An auditor may request 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. CertAssist supports small teams structure this work through built-in controls, editable policy templates, evidence checklists, and document storage.
Direct integrations with company systems aren’t required. Auditors can be given read-only access, while teams upload evidence themselves.
Understand the Independent Audit Requirement
What SOC 2 produces is formally an attestation, not a certification. The examination is performed by a licensed CPA firm, which then issues the SOC 2 report. Nothing replaces the independent auditor, not even compliance software, which helps prepare and organize evidence.
A US$225 monthly promotional subscription covering SOC 2, ISO 27001, and its other supported frameworks is offered by CertAssist. The independent audit is a separate expense. A quote from an auditor based on your business size, selected criteria, and intended reporting period should come first.
Keep the Process Manageable After Your First Report
Security work shouldn’t stop once the SOC 2 examination is finished. Over time, employees join and leave, applications change, and new suppliers become part of your operations. Your controls need to stay relevant.
Define clear responsibilities, retain evidence throughout the year, and regularly 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.