soc2-compliance

SOC 2 Compliance

Implement SOC 2 Trust Services Criteria controls, evidence collection, and continuous compliance monitoring for Type I and Type II audits.

When to Use

• Preparing for a SOC 2 Type I or Type II audit
• Mapping existing controls to Trust Services Criteria
• Automating evidence collection for auditor requests
• Building continuous compliance monitoring into CI/CD
• Onboarding new services and ensuring SOC 2 control coverage

Trust Services Criteria Detailed Checklist

security_common_criteria:
  CC1_control_environment:
    CC1.1: "Management demonstrates commitment to integrity and ethical values"
    CC1.2: "Board exercises oversight of internal controls"
    CC1.3: "Management establishes structure, authority, and responsibility"
    CC1.4: "Commitment to competence - hire and retain qualified personnel"
    CC1.5: "Individuals are held accountable for internal control responsibilities"
    evidence:
      - Code of conduct document
      - Organizational chart
      - Job descriptions with security responsibilities
      - Board meeting minutes discussing security
      - Background check policy and records

  CC2_communication:
    CC2.1: "Entity obtains or generates relevant quality information"
    CC2.2: "Entity internally communicates information including objectives and responsibilities"
    CC2.3: "Entity communicates with external parties"
    evidence:
      - Security awareness training records
      - Internal security newsletters or updates
      - Customer-facing security documentation
      - Status page and incident communication records

  CC3_risk_assessment:
    CC3.1: "Entity specifies objectives clearly to identify and assess risks"
    CC3.2: "Entity identifies risks to achievement of objectives"
    CC3.3: "Entity considers potential for fraud"
    CC3.4: "Entity identifies and assesses significant changes"
    evidence:
      - Annual risk assessment report
      - Risk register with ratings and treatment plans
      - Fraud risk assessment documentation
      - Change management records

  CC4_monitoring:
    CC4.1: "Entity selects, develops, and performs ongoing/separate evaluations"
    CC4.2: "Entity evaluates and communicates internal control deficiencies"
    evidence:
      - Continuous monitoring dashboard screenshots
      - Internal audit reports
      - Vulnerability scan results
      - Penetration test reports

  CC5_control_activities:
    CC5.1: "Entity selects and develops control activities to mitigate risks"
    CC5.2: "Entity selects and develops technology-based controls"
    CC5.3: "Entity deploys control activities through policies and procedures"
    evidence:
      - Information security policy
      - Access control procedures
      - Change management procedures
      - Encryption standards documentation

  CC6_logical_access:
    CC6.1: "Logical access security over protected information assets"
    CC6.2: "Prior to access, users are registered and authorized"
    CC6.3: "Access to data, software, functions, and other IT resources is authorized and modified"
    CC6.6: "Logical access security measures against threats from outside system boundaries"
    CC6.7: "Transmission of data between parties is protected"
    CC6.8: "Controls to prevent or detect unauthorized or malicious software"
    evidence:
      - IAM credential report
      - MFA enforcement configuration
      - Access review completion records
      - Firewall and WAF configurations
      - TLS/encryption configurations
      - Endpoint protection deployment records

  CC7_system_operations:
    CC7.1: "Detect anomalies and potential security incidents"
    CC7.2: "Monitor system components for anomalies"
    CC7.3: "Evaluate detected events and determine incidents"
    CC7.4: "Respond to identified security incidents"
    CC7.5: "Identify and remediate security incidents"
    evidence:
      - SIEM alert rules and dashboards
      - Monitoring configuration (CloudWatch, Datadog, etc.)
      - Incident response plan
      - Incident tickets and post-mortems

  CC8_change_management:
    CC8.1: "Entity authorizes, designs, develops, configures, documents, tests, approves, and implements changes"
    evidence:
      - Change management policy
      - Pull request approval requirements
      - CI/CD pipeline configurations
      - Deployment records with approvals

  CC9_risk_mitigation:
    CC9.1: "Entity identifies, selects, and develops risk mitigation activities"
    CC9.2: "Entity assesses and manages risks associated with vendors"
    evidence:
      - Risk treatment plans
      - Vendor assessment records
      - Business associate agreements
      - Insurance certificates

availability_criteria:
  A1.1: "System processing capacity and availability are maintained"
  A1.2: "Environmental protections and recovery measures"
  A1.3: "Recovery plan procedures to support system availability"
  evidence:
    - Uptime SLA documentation
    - Capacity monitoring dashboards
    - Disaster recovery plan
    - DR test results
    - Backup verification records

processing_integrity_criteria:
  PI1.1: "Entity obtains or generates, uses, and communicates quality information"
  evidence:
    - Input validation procedures
    - Data processing accuracy checks
    - Error handling and retry logic documentation
    - Output reconciliation records

confidentiality_criteria:
  C1.1: "Entity identifies and maintains confidential information"
  C1.2: "Entity disposes of confidential information"
  evidence:
    - Data classification policy
    - Encryption configurations
    - Data retention and destruction policies
    - Secure disposal records

privacy_criteria:
  P1-P8: "Privacy notice, choice, collection, use, disclosure, access, quality, monitoring"
  evidence:
    - Privacy policy (published)
    - Consent management records
    - Data processing inventory
    - DSAR handling procedures