With twelve employees, a working SaaS product, and a growing customer base, your startup is well on its way. Security matters to everyone, yet no one holds “compliance manager” as a job title. A potential enterprise customer then asks for a SOC 2 report.
What do you do next?
For founders researching how to get SOC 2 certification, the first step is not to grab dozens of policies immediately. Begin by making a few decisions that determine what your company needs to document, implement, and prove.
Start by Defining What Your First Audit Will Cover
The AICPA Trust Services Criteria are what SOC 2 assesses controls against. These include Security, Availability, Confidentiality, Processing Integrity, and Privacy. Only Security is required. Inclusion of the other categories depends on whether they’re relevant to the organization’s services and commitments. If a startup is offering a straightforward business application, starting with Security alone can work, provided that scope meets customer expectations.
Map out the applications, infrastructure, employees, and service providers involved before collecting evidence. A needlessly broad scope brings additional work without necessarily improving the report’s usefulness.
Choose the SOC 2 Report That Fits Your Timeline
There are two reporting options for anyone researching how to get SOC 2 certified. At a specified date, Type 1 evaluates the design of controls. Type 2 evaluates those controls’ design and operating effectiveness throughout a defined period. Where an enterprise customer needs evidence quickly, Type 1 can be a useful place to start, so long as 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. Type 2 doesn’t depend on a Type 1 report first. Make sure you know what your customer requires before paying for either examination.
Start With Day-to-Day Security Basics
Tying security controls to everyday business activities helps make SOC 2 preparation easier to manage. Consider enforcing multi-factor authentication for important accounts, setting up a documented employee offboarding process, and reviewing access permissions regularly.
Retain evidence of production changes and approvals within the development team. Record risk assessments and relevant supplier reviews at the management level. What employees actually do must be reflected in your policies. If nobody follows it, even a polished procedure has limited value.
Organize Evidence Before It Becomes a Problem
Demonstrating that relevant controls exist and, for Type 2, operate consistently is the heart of SOC 2 for saas companies. An auditor could request records showing when a former employee’s access was removed or whether a production deployment received appropriate approval.
Rebuilding these records months later is harder than gathering them as activities occur. With built-in controls, editable policy templates, evidence checklists, and document storage, CertAssist supports small teams organize this work.
Direct integrations with company systems aren’t required. Teams upload evidence themselves and can provide auditors with read-only access.
Understand Exactly What the Independent Audit Requires
Strictly speaking, SOC 2 is an attestation rather than a certification. A licensed CPA firm carries out the examination and issues the SOC 2 report. Compliance software can help prepare and organize evidence, but it cannot replace the independent auditor.
For the software, CertAssist advertises a US$225 monthly promotional subscription covering SOC 2, ISO 27001, and its other supported frameworks. Independent audit fees are billed separately. Request an auditor’s quote based on your business size, selected criteria, and intended reporting period before you set a budget.
Keep the Process Manageable After Your First Report
Security work shouldn’t stop once the SOC 2 examination is finished. People join and leave, applications change, and new suppliers become part of your operations. Your controls need to remain relevant.
Make sure responsibilities are clearly assigned, evidence is retained throughout the year, and documented procedures are reviewed regularly against reality. For a growing startup, that discipline makes future examinations easier while supporting the security expectations of customers who depend on your software.