With twelve people, a functioning SaaS product, and an expanding customer base, your startup is well on its way. No one on the team has “compliance manager” in their job title, although security matters. One day, a prospective enterprise customer asks for a SOC 2 report.
What exactly should you do first?
Grabbing dozens of policies immediately is not the first step for founders researching how to get SOC 2 certification. A handful of decisions defines what your company needs to document, implement, and prove, and that is where to start.
Decide What Your First Audit Should Cover
Controls are evaluated using the AICPA Trust Services Criteria in a SOC 2 examination. The criteria address Security, Availability, Confidentiality, Processing Integrity, and Privacy. Security is required. Inclusion of the other categories 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 begin with Security alone.
The applications, infrastructure, employees, and service providers involved should be identified before anyone starts collecting evidence. An overly broad scope creates additional work without necessarily increasing the report’s usefulness.
Type 1 vs. Type 2? Let the Deadline Decide
People searching for how to get SOC 2 certified often discover two reporting options. Type 1 looks at the design of controls at a specified date. Over a defined period, Type 2 evaluates both the controls’ design and operating effectiveness. Type 1 may be a useful first step when an enterprise customer needs evidence quickly, 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 isn’t a mandatory prerequisite for Type 2. Confirm your customer’s requirements before paying for either examination.
Fix Everyday Security Gaps First
Connecting security controls to ordinary business activities helps make SOC 2 preparation easier to manage. For example, enforce multi-factor authentication for important accounts, create a documented employee offboarding process, and review access permissions on a regular basis.
Retain evidence of production changes and approvals within the development team. Management should record risk assessments and relevant supplier reviews. Actual employee practice must be described in your policies. When nobody follows it, even a polished procedure has limited value.
Organize Evidence Before It Becomes a Problem
SOC 2 for saas companies means demonstrating that relevant controls exist and, for Type 2, operate consistently. You could be asked for records showing when a former employee’s access was removed or whether a production deployment received appropriate approval.
Rebuilding these records months later is far harder than gathering them as activities occur. Small teams can organize 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 give auditors read-only access.
Understand the Independent Audit Requirement
Technically, SOC 2 is an attestation rather than a certification. The SOC 2 report is issued by a licensed CPA firm that performs the examination. Nothing replaces the independent auditor, not even compliance software, which helps prepare and organize evidence.
CertAssist offers a US$225 monthly promotional subscription that covers SOC 2, ISO 27001, and its other supported frameworks. Independent audit fees are not included. Before budgeting, get an auditor’s quote based on your business size, selected criteria, and intended reporting period.
Keep the Process Manageable After Your First Report
Finishing a SOC 2 examination shouldn’t be the end of your security activities. Employees join and leave, applications change, and new suppliers become part of your operations. Your controls need to stay relevant.
Make sure each responsibility has a clear owner, evidence is retained throughout the year, and documented procedures are reviewed regularly against reality. That discipline helps make future examinations easier for a growing startup, and it supports the security expectations of customers who depend on your software.