How Can a Credentialing SaaS Platform Prepare for SOC 2?

Healthcare organizations increasingly rely on cloud software to manage credentialing and provider information. As more sensitive workflows move online, organizations also want greater visibility into how their software vendors protect data.

This is where SOC 2 can become an important consideration for credentialing SaaS companies.

SOC 2 focuses on controls relevant to trust services criteria such as security, availability, processing integrity, confidentiality, and privacy. The exact criteria included depend on the scope of the engagement.

For a credentialing SaaSprovider, preparing for SOC 2 requires more than implementing a few technical security features. It involves building repeatable processes and maintaining evidence that controls operate as intended.

Start by Defining the SOC 2 Scope

The first step is understanding what will be included in the SOC 2 engagement.

A SaaS company may have multiple applications, infrastructure environments, offices, teams, and third-party services.

The organization needs to clearly define the system and services being evaluated.

A well-defined scope helps the company understand which systems and controls need to be documented and tested.

Build an Inventory of Assets

A credentialing SaaS provider should know what technology it uses.

The inventory can include:

Production servers
Databases
Cloud storage
APIs
Applications
Employee devices
Authentication systems
Backup systems
Monitoring tools
Third-party services

Without an accurate inventory, it becomes difficult to determine where security controls need to be applied.

Establish Access Management

Access management is an important part of a SaaS security program.

Employees should receive access based on their responsibilities.

For example, a developer may need access to development systems but not production customer data. A support employee may require access to certain customer information but not infrastructure administration.

Access should be reviewed periodically, particularly when employees change roles or leave the organization.

Protect Privileged Accounts

Administrative accounts have greater potential impact if compromised.

Organizations should therefore apply additional controls to privileged accounts.

These can include multi-factor authentication, strong access policies, monitoring, approval procedures, and regular reviews.

Administrative activity should also be logged so that important changes can be investigated later.

Implement Change Management

Software companies release changes constantly.

SOC 2 preparation should therefore include a consistent process for managing application and infrastructure changes.

A change management process may include:

Change request
Review
Development
Testing
Approval
Deployment
Documentation

The exact workflow can vary by organization, but the important point is that changes should be controlled and traceable.

Monitor Security Events

A credentialing platform needs visibility into its environment.

Monitoring systems can identify unusual activity such as repeated authentication failures, unexpected permission changes, infrastructure errors, and suspicious network behavior.

Alerts should be reviewed according to defined procedures.

Monitoring also provides useful evidence when investigating incidents.

Manage Vulnerabilities

Third-party libraries, operating systems, cloud services, and application code can contain vulnerabilities.

A SaaS organization should maintain a vulnerability management process.

This can include automated scanning, dependency monitoring, penetration testing, security reviews, and defined remediation procedures.

Critical vulnerabilities should be prioritized based on their potential impact and exposure.

Establish Incident Response Procedures

SOC 2 preparation should include an incident response process.

The organization should know:

Who receives security alerts?
Who investigates incidents?
Who can contain affected systems?
Who communicates with customers?
How is evidence preserved?
How are incidents documented?
How is recovery handled?

Employees should also receive training so they understand how to respond when an incident occurs.

Manage Vendors

Credentialing SaaS platforms frequently depend on external providers.

A cloud hosting provider, email provider, document storage vendor, or authentication service may process or support customer information.

Vendor management should therefore include appropriate due diligence and periodic review.

Organizations should understand what services vendors provide and what security responsibilities they have.

Document Security Policies

Policies provide a foundation for consistent security practices.

A SaaS company may maintain policies covering:

Information security
Access management
Passwords
Acceptable use
Incident response
Change management
Vendor management
Data retention
Business continuity

Policies should reflect actual business practices rather than simply being written for an assessment.

Maintain Evidence

One of the most important aspects of SOC 2 preparation is maintaining evidence.

Examples can include:

Access reviews
Employee training records
Security scans
Penetration testing reports
Change approvals
Incident records
Vendor assessments
Backup tests
Risk assessments

Evidence helps demonstrate that documented controls are actually operating.

Employee Security Training

Technology is only part of the security environment.

Employees need to understand their responsibilities when working with company and customer information.

Training can cover phishing awareness, password security, data handling, incident reporting, device security, and other relevant topics.

Training should be documented and repeated according to the organization's security program.

Business Continuity and Disaster Recovery

Credentialing systems can be important to healthcare organizations, so outages can affect business operations.

A SaaS provider should establish appropriate continuity and recovery procedures.

Backups should be maintained securely and tested to confirm that important information can be restored.

Recovery plans should also identify critical systems and responsible personnel.

SOC 2 Is Not the Same as HIPAA

SOC 2 and HIPAA address different things.

HIPAA is a U.S. federal law with requirements for protecting certain health information and applies to covered entities and business associates in relevant circumstances.

SOC 2 is an independent examination framework focused on controls related to selected trust services criteria.

A company should therefore avoid describing SOC 2 as a replacement for HIPAA or vice versa.

A healthcare SaaS provider may need to address both, depending on its customers, services, data, and contractual obligations.

Preparing for the Examination

Once controls and processes are established, the organization can work with an independent service auditor for the applicable SOC 2 examination.

The exact process depends on the scope and type of report.

The company should be prepared to provide evidence showing how controls operate during the relevant period.

Conclusion

Preparing a credentialing SaaS platform for SOC 2 requires a combination of technology, policies, processes, monitoring, documentation, and employee awareness.

Access control, change management, vulnerability management, incident response, vendor oversight, and business continuity all play important roles.

The goal should not simply be to pass an assessment. A well-designed security program should become part of how the SaaS company operates every day.