Published on: August 13, 2025 at 11:31 PM

How to Get SOC 2 Certification

SOC 2 (System and Organization Controls 2) is a widely recognized compliance framework developed by the American Institute of Certified Public Accountants (AICPA). It is specifically designed for service providers that store or process customer data in the cloud.

Rather than being a one-size-fits-all checklist, SOC 2 reports are based on an independent audit of an organization’s controls relevant to one or more Trust Services Criteria (TSC): Security, Availability, Processing Integrity, Confidentiality, and Privacy.

This article explains the full process of getting SOC 2 certification — from preparation to the audit and ongoing compliance requirements.

Step 1: Understand SOC 2 and the Trust Services Criteria

Before pursuing SOC 2, it’s important to understand what it entails. SOC 2 reports are divided into two types:

• Type I: Describes the design of controls at a specific point in time.
• Type II: Assesses the operational effectiveness of those controls over a period (usually 3–12 months).

Organizations can choose to include one or more Trust Services Criteria based on the nature of their services and client expectations. The Security criterion is mandatory; the others are optional but commonly included.

Step 2: Define the Audit Scope

Work with your auditor or advisor to define the scope of the audit. This includes:

• Which systems, applications, or business units are in scope
• Which Trust Services Criteria will be addressed
• Locations and environments (e.g., cloud infrastructure, physical offices)

A clear and well-defined scope is critical to a smooth and successful SOC 2 audit.

Step 3: Perform a Readiness Assessment

A readiness assessment (also called a gap analysis) is a preparatory phase where you evaluate your current controls against the SOC 2 requirements. This can be done internally or with the help of a consultant.

The purpose is to:

• Identify gaps or weaknesses in your control environment
• Map existing policies and practices to TSC requirements
• Develop a remediation plan before the official audit

Step 4: Implement and Document Controls

Based on the readiness assessment, implement any missing controls and strengthen existing ones. Proper documentation is critical and typically includes:

• Security policies and procedures
• Access control and user management processes
• Incident response plans
• Change management records
• Risk assessment reports
• Vendor risk management practices

Auditors will expect documented evidence of controls being designed and operating effectively over time.

Step 5: Choose a SOC 2 Auditor

Only licensed CPA firms or firms working under a CPA can issue a valid SOC 2 report. Choose a firm that:

• Is experienced in SOC 2 audits
• Understands your industry and technology stack
• Has a reputation for fair, thorough, and efficient audits

Most organizations begin with a Type I audit and progress to Type II after controls have been operating for a few months.

Step 6: Undergo the SOC 2 Audit

During the audit, the auditors will:

• Review your control environment
• Conduct interviews with staff
• Collect documentation and system evidence
• Test control effectiveness over the reporting period (for Type II)

The process typically takes 4 to 12 weeks depending on the scope and size of your organization.

Step 7: Receive Your SOC 2 Report

After completing the audit, the auditor issues a SOC 2 report. This includes:

• The management assertion
• The auditor’s opinion
• Description of the system and control environment
• Details of the controls and testing results

If the report includes no significant exceptions, it demonstrates that your organization meets the SOC 2 requirements for the selected criteria.

Step 8: Maintain Compliance and Plan for Re-Audit

SOC 2 Type II reports are valid for 12 months. To maintain compliance:

• Continue operating and monitoring your controls
• Document incidents, changes, and risk assessments
• Conduct internal audits or third-party assessments regularly

Organizations must plan annual re-audits to keep their certification current and demonstrate continuous commitment to security and compliance.

Conclusion

Getting SOC 2 certified is not just about passing an audit — it’s about building a culture of trust, transparency, and operational excellence. The process requires planning, control maturity, and engagement from leadership and technical teams alike.

With the right preparation and a reliable audit partner, organizations can turn SOC 2 certification into a strategic advantage, meeting customer expectations and strengthening their position in the market.