Your startup employs twelve people, a working SaaS product, and an expanding customer base. Nobody at the company has “compliance manager” in their job title, but security matters. A potential enterprise customer then requests a SOC 2 report.
So, where should you start?
Downloading dozens of policies immediately is not the answer for founders researching how to get SOC 2 certification. Begin by making a few choices that decide what your company needs to document, implement, and prove.
Decide What Your First SOC 2 Audit Should Cover
Your controls are evaluated using the AICPA Trust Services Criteria in a SOC 2 examination. These include Security, Availability, Confidentiality, Processing Integrity, and Privacy. Of these, only Security is mandatory. Add the other categories only when they’re 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.
Map out the applications, infrastructure, employees, and service providers involved before collecting evidence. Making the scope overly broad adds extra work, but it doesn’t necessarily increase the report’s usefulness.
Pick the SOC 2 Report Your Deadline Allows
Anyone wondering how to get SOC 2 certified soon runs into two reporting options. Type 1 evaluates the design of controls at a specified date. Throughout a defined period, Type 2 examines both the controls’ design and operating effectiveness. Type 1 may be a useful first step when an enterprise customer needs evidence fast, provided the customer accepts it.
The process for how to get SOC 2 type 2 certification begins with an observation period, typically three to twelve months, and ends with an independent examination. Type 1 is not a mandatory prerequisite for Type 2. Find out what your customer requires before committing to either examination.
Start With Everyday Security Gaps
Tying security controls to everyday business activities helps make SOC 2 preparation more manageable. For instance, require multi-factor authentication for important accounts, establish a documented employee offboarding process, and review access permissions regularly.
Evidence of production changes and approvals should be retained by developers. Company leadership should document risk assessments and relevant supplier reviews. Draft policies that describe what employees actually do. When nobody follows it, even a well-written procedure provides limited value.
Organize Evidence Before It Becomes a Problem
SOC 2 for saas companies involves demonstrating that relevant controls exist and, for Type 2, operate consistently. Expect an auditor to ask when a former employee’s access was removed or whether a production deployment received appropriate approval.
Gathering these records as activities occur is far easier than reconstructing them months later. Through built-in controls, editable policy templates, evidence checklists, and document storage, CertAssist helps small teams organize this work.
There’s no need for direct integrations with company systems. Auditors can be provided with read-only access, while teams upload evidence themselves.
Understand the Independent Audit Requirement
Strictly speaking, SOC 2 is an attestation rather than a certification. The examination is performed by a licensed CPA firm, which then 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 that covers SOC 2, ISO 27001, and its other supported frameworks. Fees for the independent audit are charged separately. Get an auditor’s quote based on your business size, selected criteria, and intended reporting period before budgeting.
Keep the Process Manageable After Your First Report
A completed SOC 2 examination shouldn’t mark the end of your security work. As time passes, people join and leave, applications change, and new suppliers become part of your operations. It’s important that your controls stay 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 will make future examinations easier and supports the security expectations of customers who depend on your software.