How to Get SOC 2 Certified: Step-by-Step Guide

There is no SOC 2 certificate. SOC 2 is an attestation, so “getting SOC 2 certified” means getting a SOC 2 report: you define your audit scope, close security gaps, and a licensed CPA firm examines your controls. The result is a SOC 2 Type 1 or Type 2 report with the firm’s opinion, which you share with customers and partners.

To understand the complete audit process from planning to final report, see our SOC 2 Timeline Guide.

Why Does a SOC 2 Report Matter More Than Ever?

Many tech companies push SOC 2 to next quarter until an enterprise prospect demands it to close a deal. That delay is costly.

A common scenario: your SaaS company is close to signing a Fortune 500 client. Then procurement flags one line item on their vendor security checklist: “Provide current SOC 2 Type 2 report.” A process you assumed was optional becomes the only thing blocking the deal.

A SOC 2 program shows the market you take data security seriously, and it can speed up deals where security is a gate.

A SOC 2 report tells prospective customers that you have designed security controls and, in a Type 2 report, that those controls worked over time.

What Is the Roadmap to a SOC 2 Report?

For service organizations in SaaS, FinTech, and HealthTech, SOC 2 has become a standard requirement for enterprise sales.

The process breaks down into a few core phases.

Planning and prep work feed into the formal audit and the final report. Weak preparation makes the rest significantly harder. For the same sequence as 11 steps, each with an owner, an output, and timing against the observation window, use the step-by-step SOC 2 compliance checklist.

Understanding the Trust Services Criteria

SOC 2 is built on the Trust Services Criteria (TSC), a set of principles from the AICPA. These are the standards your controls will be judged against. For more detail, see our guide on what is SOC 2 compliance.

Your first real task is figuring out which of these criteria actually apply to the services you sell and the promises you make to customers.

• Security (Common Criteria): In nearly every SOC 2 report; the Common Criteria apply to every audit. Covers protecting systems and data from unauthorized access.
• Availability: Applies if customers rely on guaranteed uptime or your contracts include SLAs.
• Processing Integrity: Applies if your service processes transactions or calculations where completeness and accuracy matter.
• Confidentiality: Covers sensitive non-public information, such as trade secrets or business plans.
• Privacy: Covers personal information (PII): how you collect, use, retain, and dispose of it, in line with frameworks like GDPR and CCPA.

Tip: Don’t include all five TSCs just to look thorough. An auditor will test every criterion you include, so pick only what’s relevant to your service commitments.

Type 1 vs Type 2 Reports

You also need to decide between a Type 1 and a Type 2 report. The choice affects your timeline and budget.

A Type 1 report assesses whether your controls are designed properly at a single point in time. A Type 2 report evaluates both the design and the operating effectiveness of your controls over a period of time, commonly 3 to 12 months.

The table below compares the two.

SOC 2 Type 1 vs Type 2 At a Glance

A Type 1 is a reasonable starting point, but many enterprise and security-conscious buyers ask for a Type 2.

A readiness assessment is a sensible first step. It reduces the risk and cost of walking into a formal audit unprepared. Our free SOC 2 readiness assessment scores where you stand in about 90 seconds.

A Practical Strategy for Startups

A fast-growing startup gets an urgent request from a potential client that requires a SOC 2 report to sign. Waiting 6-12 months for a Type 2 is not viable.

The practical approach: hire an auditor immediately and pursue a Type 1 report. This can often be completed in a few months, which may satisfy the client’s requirement.

At the same time, start the observation period for the Type 2 report. By the next annual audit cycle, a 6-month observation window will be complete. The company can then move to Type 2, ready for larger enterprise clients.

How Do You Prepare for a SOC 2 Audit With a Readiness Assessment?

Going into a formal SOC 2 audit without preparation is expensive, and most of the work happens before the auditor starts fieldwork.

This work starts with a readiness assessment, often called a gap analysis. It lets you find and fix gaps on your own timeline before an auditor reports them.

Defining Your Audit Scope

Draw a clear boundary around what the audit will cover. This is your audit scope: the specific systems, data, processes, and people involved in delivering your services to customers.

Think through the full lifecycle of customer data in your organization. A complete scope covers five dimensions:

• Infrastructure: Cloud environments (AWS, Azure, GCP) and data centers hosting your application and customer data.
• Software: Applications, databases, and internal tools that process, transmit, or store customer information.
• People: Employees and contractors with privileged access: engineers, DevOps, customer support staff.
• Data: The specific types of customer data your system handles. This directly determines which Trust Service Criteria apply.
• Procedures: Documented operational processes governing change management, incident response, and similar functions.

Getting scope wrong is costly. Too narrow, and the report won’t give customers the assurance they need. Too broad, and you’ll waste time and money gathering evidence for systems that don’t matter.

Conducting The Gap Analysis

Once your scope is set, run the gap analysis. Compare your current security controls against the requirements of your chosen Trust Services Criteria to identify every gap between what you do and what SOC 2 requires.

For more on this step, see our guide to the SOC 2 readiness assessment and our SOC 2 compliance checklist.

Most readiness assessments surface gaps that need one to three months of remediation work. Budget time and resources for it.

It is better to discover a weak password policy or an inconsistent employee offboarding process in a readiness assessment, where you can fix it quietly, than to have an auditor flag it as an official exception in your final report.

The table below lists key areas to check during your analysis.

Key Focus Areas for Your Readiness Assessment

This is a starting point, but it shows the questions you need to answer before the auditor asks them.

Mapping Controls and Documenting Everything

Map each existing control directly to the relevant SOC 2 criteria. Your documented process for quarterly user access reviews, for example, directly supports the Security criterion for logical access. This mapping becomes a foundational part of your evidence package.

Auditors need to see proof, not assertions. Document everything, from high-level information security policies to the operational procedures your teams follow day-to-day.

Your readiness assessment will produce a prioritized remediation plan. The goal is to close every gap found, whether that means writing new policies, deploying a new security tool, or training staff on updated procedures. If you want outside help running the assessment, you can compare SOC 2 readiness firms.

How Do You Choose the Right SOC 2 Auditor for Your Business?

The audit firm matters more than the lowest price: its final report has to hold up in front of your largest customers.

The choice affects your costs, your timeline, and how much friction your team deals with. A good auditor gives clear direction; a poor fit makes everything harder.

Big Four Firms vs. Boutique Specialists

Your first big choice is whether to go with a massive, well-known firm (like the “Big Four”) or a smaller, specialized CPA firm. Each has tradeoffs, and the right answer depends on your company’s stage.

A Big Four firm brings brand recognition. For some enterprise clients, a familiar logo on the report adds credibility, but that usually comes with higher fees and a less flexible process.

Boutique firms typically focus on companies of a certain size or sector, such as SaaS or FinTech. They tend to be faster and more affordable, and offer closer attention throughout the engagement. For most startups and mid-market companies, that focus is more valuable than a big brand name. You can compare different types of firms to find the right SOC 2 audit firm for your situation.

Evaluate an auditor’s experience and communication style, not just their price. A cheaper audit that produces a low-quality report is a waste of money.

Key Questions to Ask Potential Auditors

Once you have a shortlist, ask how each firm works, not just what it offers. Their answers show what the engagement will be like.

• Industry Experience: “How many SaaS/FinTech/HealthTech companies our size have you audited in the last year?” You need to know they understand your business model and its risks.
• Audit Team: “Who will be our day-to-day contact? What’s their experience level?” Being handed off to a junior associate after signing is a common frustration.
• Process and Tools: “What does your evidence collection process look like?” A firm still relying on email threads and spreadsheets will create unnecessary overhead for your team.
• Communication: “What’s your communication cadence? How do you handle disagreements during the audit?” This sets expectations before you’re mid-engagement.

Decoding Cost and Timeline Benchmarks

Time and cost both vary based on your audit scope, company size, and the firm you choose.

Timeline directly affects startup sales plans. A Type 1 report typically takes 3-6 months from start to finish. A first Type 2 report, which adds an observation period (commonly 3 to 12 months), usually takes 6-12 months or more in total. See how long a SOC 2 audit takes for the phase-by-phase breakdown.

Budgets can range from $15K for a lean startup to over $400K for a complex audit with a Big Four firm, so compare quotes before you commit. Comparing auditors on price, timeline, and responsiveness can help you avoid a costly mismatch.

For a mid-sized SaaS company:

These are benchmarks. Adding multiple Trust Services Criteria or auditing a complex system pushes costs toward the higher end. The only way to get an accurate number is to collect multiple detailed quotes.

Here is how the total first-year investment typically breaks down across company stages. These figures reflect the total cost, not just the auditor fee.

Preparation is a major factor in your SOC 2 budget. A thorough readiness assessment and a well-organized remediation effort usually lead to a smoother, cheaper audit. For what a SOC 2 audit costs by firm type, see our SOC 2 audit cost guide.

How Do You Navigate the SOC 2 Audit and Evidence Collection?

The readiness assessment is complete, gaps are closed, and you have an auditor. Now comes fieldwork.

The fieldwork phase centers on one thing: evidence. Your auditor’s job is to verify that the controls you described on paper are working in practice. They need tangible proof for every claim.

What Auditors Really Want to See

Auditors look for three types of proof. Understanding these categories lets you anticipate requests and organize documentation ahead of time.

• Documentation: Information security policies, onboarding and offboarding procedures, your incident response plan, and system architecture diagrams.
• System Configurations: Screenshots or configuration exports from live systems, such as your AWS security group settings, the password policy in Okta, or branch protection rules in GitHub.
• Demonstrations and Interviews: The auditor schedules walkthroughs where a team member shares their screen and demonstrates a key process, like deploying code or deprovisioning a user. They also interview staff to confirm that written policies match what people actually do.

An auditor’s primary goal is to gain reasonable assurance that your controls are effective. They are not trying to trick you. If you are organized and can provide clear evidence that connects your policies to your practices, the process is usually collaborative.

Managing a SOC 2 audit through email threads and shared folders is painful at scale. Compliance automation platforms like Vanta or Drata connect to your tech stack (AWS, GitHub, HR systems) and gather much of this evidence automatically.

Preparing Your Team for Audit Interviews

Auditors will talk to engineers, HR staff, and managers to verify that written procedures match what people actually do. Prepare your team for these conversations.

1. Set Expectations: Explain why the audit is happening and what the auditor’s role is. It is a verification process, not an interrogation, and it is standard practice at this stage of a company.
2. Review Key Processes: Before an interview, do a quick refresher on the relevant policy with that team member (change management for an engineer, onboarding procedures for HR).
3. Encourage Honesty: Tell your team to answer questions directly. “I’m not sure, but I can find out” is a perfectly acceptable answer. Guessing or overstating what exists is the worst outcome.

Confidence in these conversations comes from being organized. When an auditor asks for proof of your last security awareness training, you should be able to pull a report immediately showing who completed it and when.

So You Got Your SOC 2 Report. Now What?

Passing the audit starts the next cycle. The goal is to keep controls running year-round so future audits are routine.

SOC 2 is a recurring obligation, not a one-time project. Treating it as a periodic scramble makes each cycle harder. For more, see this beginner’s guide to SOC 2.

Understanding Your Audit Opinion

Read the final report first. The auditor’s opinion is the paragraph every customer, prospect, and partner will look at, and it largely determines how the report is received.

The opinion can take one of three forms.

• Unqualified Opinion: A clean report. The auditor reviewed your controls and found no significant issues. Your team can share it proactively as proof of your security commitment.

• Qualified Opinion: The audit was largely successful, but the auditor found a significant problem with one or more controls. It is not a universal deal-breaker, but you will need to explain the exceptions to security-conscious customers. The documented findings tell you exactly where to focus remediation.

• Adverse Opinion: The auditor found widespread, material problems with your security controls. An adverse opinion can stop deals.

Exceptions from your auditor are a third-party validated list of where your security needs work.

Running Compliance Year-Round

Build compliance into day-to-day operations so you are not scrambling a month before the auditors arrive.

The main activities:

• Automate Evidence Collection: Use tools that pull evidence continuously from your cloud provider, code repos, and HR systems. This eliminates the last-minute scramble for screenshots and log files.
• Run Internal Reviews: Do not wait for the auditor to find problems. Quarterly reviews of user access, security configurations, and vendor security surface issues before they become findings.
• Keep Security Training Current: Controls are only as strong as the people operating them. Regular training on phishing, data handling, and incident response keeps defenses effective.

Building Your Continuous Compliance Program

With a report in hand, the ongoing work begins. A SOC 2 report is a snapshot in time. Continuous compliance is the year-round effort that makes your next audit a routine check rather than an emergency project.

An ongoing program needs a few habits:

• Annual Risk Assessments: At least once a year, formally re-evaluate your threats. What’s new? Did you launch a new product? Enter a new market? This process should directly inform your security roadmap for the next 12 months and should be documented and reviewed by leadership.

• Ongoing Control Monitoring: Run quarterly user access reviews, set up automated alerts for cloud misconfigurations, and perform regular vulnerability scans. The goal is to catch drift before it becomes an audit finding.

• Security Awareness and Training: Run training as an ongoing program rather than a one-time onboarding video: phishing simulations, monthly security reminders, and targeted training for high-risk roles like engineers and customer support staff.

Your Post-Audit Checklist for Continuous Compliance

Once the report is issued, use this checklist to set up the next cycle.

• Fix Every Finding: Your auditor will check how you addressed this year’s exceptions next year. Create a plan for each one: assign owners, set deadlines, and document the remediation.
• Schedule Annual Tasks Now: While it is fresh, lock in next year’s risk assessment, penetration test, and policy reviews on the calendar.
• Review Vendors Annually: Review new vendors before signing contracts and re-evaluate critical vendors each year.
• Share the Report: Distribute your successful SOC 2 report to customers, prospects, and your team.

Common SOC 2 Questions Answered

Is SOC 2 a Certification or an Attestation?

Even auditors casually say “SOC 2 certified,” but technically that is not accurate. SOC 2 is an attestation report, not a certification.

A certification is typically pass/fail against a fixed checklist. An attestation is a formal opinion from a licensed CPA firm affirming that your description of your security controls is fair and accurate. An independent expert is validating your claims.

“SOC 2 certified” is the common shorthand, but what you actually receive is a detailed report with an auditor’s professional opinion.

Do I Need to Cover All Five Trust Services Criteria?

No. Covering all five adds controls, evidence, and cost that your commitments may not require.

Security is in nearly every report, and its criteria, the Common Criteria, are the foundation of every SOC 2 audit. The remaining criteria (Availability, Processing Integrity, Confidentiality, and Privacy) are optional and should only be added when they map directly to commitments you make to customers.

A good rule of thumb:

• Availability: Add this only if your contracts have specific uptime SLAs (e.g., 99.9% uptime).
• Confidentiality: Include this if you handle highly sensitive, non-public data like trade secrets or M&A information.
• Processing Integrity: This is for you if your system does critical financial calculations or transaction processing where accuracy is paramount.
• Privacy: This one’s for when you manage your customers’ Personally Identifiable Information (PII).

Don’t over-scope your audit “just in case.” Each criterion you add brings more controls, more evidence, and a higher price tag.

How Long Does This Actually Take?

For a first Type 2, plan about 6 to 12 months or more from start to finish. A Type 1 has no observation period and usually takes 3 to 6 months end to end.

Here is how that time typically breaks down:

• 1-3 months for scoping and the readiness assessment.
• 2-3 months for remediation, fixing the gaps the assessment surfaced.
• 3, 6, or 12 months for a Type 2 observation period. The AICPA sets no fixed minimum; your CPA firm approves the dates.
• About 2-8 weeks of auditor testing, then about 3-5 weeks for the draft and final report.

Rushing a phase can lead to exceptions or a qualified opinion.

What Are the Biggest Hidden Costs?

The auditor’s invoice is not the whole picture. The larger cost is usually internal.

The largest hidden cost is almost always your own team’s time. Expect key people from engineering, ops, and HR to put in hundreds of hours on readiness, evidence gathering, and auditor interviews.

Beyond your team’s time, other significant costs include:

• Compliance Automation Software: In Vendr’s purchase data, the median annual contract is $20,000 for Vanta and $25,000 for Drata. Our Vanta pricing and Drata pricing guides show the full ranges.
• Remediation Tools: The readiness assessment may surface gaps that require new tooling, such as endpoint detection and response (EDR) software or vulnerability scanners.

What Happens If the Auditor Finds an Issue?

Exceptions are common, especially on a first audit. Finding one does not mean you have failed. An exception is a documented case where a control did not operate as designed during the audit period.

A real-world example: Your policy says all terminated employee access is revoked within 24 hours, but the auditor finds one instance where it took 48 hours. That’s an exception.

A few minor exceptions will be noted but are unlikely to change the overall opinion. A pattern of significant failures can lead to a qualified opinion, which signals material weaknesses to customers. Respond to any findings promptly, document the fix, and demonstrate a plan to prevent recurrence.

Can We Do This Without a Dedicated Compliance Person?

Yes. Most startups and smaller tech companies do not have a full-time compliance hire.

Responsibility typically splits between a technical leader (the CTO or a lead engineer) and someone on the operations side. The key is naming a single SOC 2 project owner, someone who coordinates with the auditor, tracks tasks, and keeps deadlines from slipping.

If you take this approach, a compliance automation platform helps a lot: it gives your team the structure and workflow to stay on track.

How Often Do I Need to Get a SOC 2 Report?

A SOC 2 report has a shelf life. Customers and prospects want to see a current report, which means auditing is a recurring commitment.

The industry standard is annual renewal for a SOC 2 Type 2 report. Each year brings a new observation period (typically the last 12 months) followed by a new audit. Controls have to keep operating from one cycle to the next, which is why continuous compliance monitoring matters.

Why is SOC 2 So Important for Business Growth?

SOC 2 is a commercial tool as much as a security one, especially for B2B companies. It can shorten security questionnaire back-and-forth and gives enterprise buyers concrete proof that you handle their data responsibly.

According to A-LIGN, SOC 2 consistently ranks as one of the top three most requested frameworks across tech, healthcare, and finance. You can read more about the widespread demand for SOC 2 on scrut.io.

A SOC 2 report helps you:

• Speed up sales cycles by answering security questions before they are asked.
• Unlock enterprise deals gated by vendor security policies.
• Differentiate from competitors who have not made the investment.
• Build customer trust through proof, not assertions.

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