Best Practices for Maintaining SOC 2 Compliance

The second set of System and Organization Controls (aka SOC 2) was released by the AICPA in 2010 to help businesses track their security measures and better protect customer data. To achieve and maintain compliance with SOC 2, organizations must adopt ongoing practices and procedures prioritizing cybersecurity and data protection.

Today's post highlights five best practices businesses can implement to ensure continued SOC 2 compliance, reduce the risk of data breaches, and build customer trust.

Core Principles of SOC 2 Compliance

First, we need to understand what SOC 2 compliance entails. Regulations are based on the Trust Services Criteria (TSC)—Security, Availability, Processing Integrity, Confidentiality, and Privacy. Each category includes specific practices and controls required to maintain compliance.

While Security is required for all companies hoping to become SOC 2 compliant, not all organizations are required to meet the controls for the other four criteria.

Here's a quick overview to give you an idea of which businesses need to adhere to each criteria:

• Availability means your employees and customers can easily access the data required to complete tasks. This measure applies to products like cloud computing or CRM software.

• Confidentiality involves advanced data protection for any organization with confidential or highly sensitive data.

• Processing Integrity means that data is analyzed and reported accurately, without any manipulation. Companies that analyze information, create reports, etc., should consider this criterion.

• Privacy emphasizes customer protection to ensure their trust and safety. These controls outline how businesses that collect any sort of data should gather, protect, use, and dispose of client information.

These summaries are meant to act as a general guide—the best way to determine which SOC 2 criteria you need to follow is to consult a reliable IT compliance specialist.

SOC 2 Compliance Best Practices

These SOC 2 strategies will help you protect data and stay compliant, but they'll also show customers you care about their safety and privacy, increasing their trust in and loyalty to your business.

Implement Access Controls

The most common access control is multi-factor authentication (MFA), which requires users to confirm their identity through measures like codes sent to their phones. Additionally, role-based access control (RBAC) grants access to different resources based on job responsibilities, which limits contact with sensitive data and minimizes the risk of accidental exposure.

Regularly review who has access to what systems, how they're being used, whether controls are working properly, etc., and make necessary adjustments to improve data security.

Run Regular Risk Assessments and Security Audits

Keeping track of your systems, including identifying gaps or room for improvement, is necessary to understand what you still need to do to achieve or maintain SOC 2 compliance. Conduct periodic risk assessments and internal security audits to identify potential vulnerabilities and address them before they become a problem.

Running third-party assessments is also a good idea because you can get an outside, unbiased look at your security procedures—auditors who are unfamiliar with your systems may catch things internal employees miss. These evaluations will also help you prepare for the official external audit that determines if you're compliant with SOC 2.

Maintain Rigorous Documentation

SOC 2 compliance requires companies to generate reports that show their use of the necessary controls, so it's crucial to keep thorough records of all security protocols, access policies, data handling procedures, backup strategies, audit results, etc.

In particular, be sure to keep track of how sensitive customer data is handled, who is granted access, protection used on databases, and any modifications made to sensitive information.

Ensure Secure Data Care

Since SOC 2 is focused on protecting client data, it's essential to include secure data management practices in your operations. 

Follow industry standards to encrypt data both at rest and in transit to limit the risk of exposure. A data classification system that evaluates the sensitivity of data and applies the appropriate security measures can also be an efficient way to organize and protect data.

Conduct Employee Training and Promote Awareness

To maintain an effective culture of compliance and data protection, team members must be included in the process from the beginning. Teach new hires the basics of SOC 2 and the security practices they will be expected to follow.

Provide ongoing training for all employees with regular compliance meetings. Keep team members updated on evolving threats and new requirements to foster a culture of proactivity, safety, and awareness.

Simplify SOC 2 Compliance with ICS

At ICS, we understand the complexities of staying compliant, as well as the importance of keeping your customer's data safe and secure. We take our own client's data seriously and are SOC 2 certified ourselves, so we have the tools, insights, and experience you need to make compliance simple and stress-free.

For quick and friendly service, effective compliance solutions, and a team that's dedicated to your safety and success, choose ICS. Give us a call to get started on your SOC 2 compliance today.