Guide to Achieving SOC 2 Compliance for Software Applications

SOC 2 (System and Organization Controls 2) is a framework developed by AICPA (American Institute of Certified Public Accountants) to ensure that organizations handle customer data securely. It is particularly important for SaaS providers and organizations that store, process, or transmit sensitive customer data.

SOC 2 compliance is based on five Trust Services Criteria (TSCs):

Security – Protection against unauthorized access.
Availability – System uptime and performance.
Processing Integrity – Ensuring data processing is accurate and complete.
Confidentiality – Protecting sensitive information.
Privacy – Handling of personal data per established policies.

Managing SOC 2 compliance can be challenging because it requires continuous oversight, responsibility assignments, and audit readiness. ezRACI simplifies this process by providing a structured RACI matrix, ensuring clear role assignments, compliance tracking, and real-time collaboration.

This guide presents a step-by-step approach to achieving SOC 2 compliance for a software application using ezRACI.

Step 1: Understanding SOC 2 Compliance for Software Applications

SOC 2 compliance is focused on:

Risk assessment & security policies
Access controls & authentication
Data encryption & confidentiality
Incident response & business continuity
Vendor & third-party risk management
Audit logs & compliance documentation
Privacy & user data protection

Each of these elements requires structured responsibility assignments. Using ezRACI, organizations can ensure SOC 2 compliance by properly assigning, tracking, and documenting roles & responsibilities.

Step 2: Building a SOC 2 RACI Matrix in ezRACI

The RACI matrix below outlines SOC 2 compliance steps (left) and assigned roles for an ERP platform implementation.

Step 3: Implementing SOC 2 Compliance with ezRACI

Using ezRACI, organizations can streamline SOC 2 compliance efforts by ensuring clear role assignments, compliance tracking, and real-time collaboration. Below is a breakdown of how ezRACI supports each compliance requirement.

1. Define Security Policies & Procedures

Establish security governance, access policies, and risk management frameworks.
Use ezRACI’s Compliance & Audit Tracking to document & maintain policies.

2. Conduct Risk Assessment & Gap Analysis

Identify security gaps, vulnerabilities, and compliance risks.
Assign CISO as Accountable (A) and Risk Officer as Responsible (R) in ezRACI.

3. Implement Access Control & Authentication

Implement role-based access controls (RBAC) and multi-factor authentication (MFA).
Use ezRACI alerts to monitor unauthorized access attempts.

4. Secure Data Encryption & Protection

Encrypt data in transit and at rest.
Track security implementations using ezRACI’s Compliance Dashboard.

5. Develop Secure Software Development Practices

Enforce secure coding practices aligned with OWASP & SOC 2 requirements.
Use ezRACI’s Discussion Boards to track security issues.

6. Implement Incident Response & Monitoring

Develop incident response plans, escalation procedures, and forensic analysis protocols.
Assign CISO as Accountable (A) and IT Manager as Responsible (R) in ezRACI.

7. Maintain System Availability & Uptime Monitoring

Monitor system uptime and ensure disaster recovery planning.
Use ezRACI’s real-time collaboration tools for status updates.

8. Perform Continuous Security Testing

Conduct regular penetration testing and vulnerability scanning.
Assign QA Team as Responsible (R) to manage security testing.

9. Manage Third-Party & Vendor Security Risks

Ensure vendors comply with SOC 2 security controls.
Use ezRACI’s Vendor Risk Management Module to track vendor compliance.

10. Conduct Security Awareness Training for Employees

Automate training reminders in ezRACI to ensure employee compliance.
Assign HR as Responsible (R) for tracking security awareness programs.

11. Maintain Audit Logs & Compliance Documentation

Keep detailed logs of security activities for SOC 2 auditors.
Use ezRACI’s Compliance Tracking Module to store audit documentation.

12. Continuous Compliance Monitoring & Remediation

Automate security alerts and compliance notifications in ezRACI.
Schedule regular internal audits & track remediation efforts.

Step 4: Continuous Monitoring and Improvement

SOC 2 compliance requires ongoing management, including:

Regular internal security audits
Continuous risk assessments & improvements
Periodic vendor security reviews
Ongoing training & awareness programs
Incident tracking & response

Using ezRACI, organizations can:

Automate SOC 2 compliance tracking & risk management.
Enable real-time collaboration between Security, IT, and Compliance teams.
Ensure audit readiness with compliance documentation & reporting.

Conclusion

Achieving SOC 2 compliance for software applications is challenging but critical for securing customer data and meeting industry standards. ezRACI simplifies the compliance process by providing structured role-based compliance tracking, audit readiness, and automated collaboration tools.

Next Steps

Sign up for ezRACI to implement the SOC 2 RACI template.
Assign responsibilities for SOC 2 compliance steps using ezRACI’s compliance workflow.
Monitor & optimize security efforts using ezRACI’s real-time reporting & alerting tools.

By integrating ezRACI into your SOC 2 compliance strategy, your organization can reduce risk, improve security controls, and ensure compliance with customer data protection standards.

Disclaimer: The content provided on this website, including blog articles, is for informational purposes only and does not constitute legal, compliance, or regulatory advice. ezRACI makes no representations or warranties regarding the accuracy, completeness, or applicability of any information contained herein. Organizations should consult with qualified legal counsel or compliance professionals before making any decisions based on the information provided. Use of this content is at your own risk.