soc2-compliance – skill Bảo mật cho agent AI

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

SOC 2 is an independent CPA examination/report, not a product certification. Type I addresses design at a specified date; Type II also addresses operation over a period. Agree system boundaries, applicable categories, criteria and evidence period with the auditor. This abbreviated mapping omits criteria and is not a complete authoritative checklist.

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

Tool Mappings for Control Evidence

control_to_tool_mapping:
  CC6.1_logical_access:
    aws:
      - IAM credential report (aws iam generate-credential-report)
      - IAM Access Analyzer findings
      - AWS SSO configuration
      - GuardDuty findings
    azure:
      - Azure AD sign-in logs
      - Conditional Access policies
      - PIM role assignments
    github:
      - Organization member list and roles
      - Repository access permissions
      - Branch protection rules
    okta:
      - User status report
      - MFA enrollment report
      - Application assignment report

  CC7.2_monitoring:
    tools:
      - CloudWatch / Azure Monitor / Cloud Monitoring dashboards
      - Datadog / New Relic / Grafana alert configurations
      - SIEM (Splunk, Elastic, Sentinel) saved searches
      - PagerDuty / OpsGenie escalation policies
    evidence_format:
      - Dashboard screenshots with date stamps
      - Alert rule configuration exports
      - Incident response records from ticketing system

  CC8.1_change_management:
    tools:
      - GitHub/GitLab PR merge requirements
      - CI/CD pipeline configurations (GitHub Actions, Jenkins)
      - Terraform plan outputs
      - Deployment logs
    evidence_format:
      - PR with approvals and CI checks
      - Deployment audit trail
      - Change advisory board meeting notes (if applicable)

Evidence Collection Automation

#!/usr/bin/env bash
# collect-soc2-evidence.sh - Automated SOC 2 evidence collection
# Run monthly or before audit requests in the approved accounts/regions only.
set -euo pipefail
umask 077

EVIDENCE_DIR="./soc2-evidence/$(date +%Y-%m)"
mkdir -p "$EVIDENCE_DIR"

echo "=== CC6.1 - Logical Access Evidence ==="

# AWS IAM credential report
aws iam generate-credential-report
sleep 10
aws iam get-credential-report --output text --query Content | \
  base64 -d > "$EVIDENCE_DIR/aws-iam-credential-report.csv"

# AWS IAM Access Analyzer findings
aws accessanalyzer list-findings \
  --analyzer-arn "arn:aws:access-analyzer:us-east-1:123456789012:analyzer/org-analyzer" \
  --filter '{"status": {"eq": ["ACTIVE"]}}' \
  > "$EVIDENCE_DIR/access-analyzer-findings.json"

# MFA enforcement status
aws iam list-users --query 'Users[*].UserName' --output text | \
  tr '\t' '\n' | while read -r user; do
    mfa=$(aws iam list-mfa-devices --user-name "$user" --query 'MFADevices[0].SerialNumber' --output text)
    echo "$user,$mfa"
  done > "$EVIDENCE_DIR/mfa-status.csv"

# GitHub organization membership only; this endpoint does not establish member/admin roles.
# Collect authorized per-member membership-role evidence separately; never default unknown roles to member.
gh api org

… (nội dung đầy đủ có trong gói tải về)