SOC 2 Control Library

Code of Conduct and Ethics Policy

Formal policy establishing expected standards of ethical behavior, conflicts of interest, and disciplinary consequences for all employees and contractors.

Organizational Structure and Accountability

Documented org chart with clear reporting lines, defined roles, and delegated authority for security and compliance responsibilities.

Employee Background Check Process

Pre-employment background screening for all employees and contractors with access to customer data or production systems.

Performance Management and Competency Assessment

Formal process for evaluating employee performance, identifying skills gaps, and ensuring staff have the competencies required for their security-relevant roles.

Information Security Policy

Master security policy communicating management's commitment to security, defining objectives, and assigning responsibilities across the organization.

External Security Communication Process

Defined process for communicating security commitments and obligations to customers, partners, and regulators.

Annual Risk Assessment Process

Formal methodology for identifying, analyzing, and evaluating risks to the confidentiality, integrity, and availability of systems and data.

Risk Register Maintenance

Maintained register of identified risks with assigned owners, treatment decisions, and tracked remediation status.

Fraud Risk Assessment

Assessment of fraud risks relevant to financial reporting and operations, including insider threat scenarios.

Internal Audit Program

Scheduled internal reviews or third-party assessments to evaluate the design and operating effectiveness of controls.

Control Deficiency Remediation Tracking

Process for identifying, documenting, prioritizing, and tracking remediation of control deficiencies found during audits, assessments, or monitoring.

Control Selection and Design Process

Documented process for selecting, designing, and implementing controls in response to identified risks.

System Configuration and Hardening Standards

Baseline security configuration standards for servers, cloud infrastructure, and endpoints to reduce the attack surface.

Policy and Procedure Management

Process for creating, reviewing, approving, and distributing security policies and procedures to ensure they remain current and enforced.

Multi-Factor Authentication (MFA)

Requirement for a second authentication factor for all access to production systems, cloud consoles, VPNs, and identity providers.

Privileged Access Management

Controls governing the granting, use, and monitoring of privileged (admin/root) access to production systems and cloud infrastructure.

User Provisioning and Deprovisioning

Formal process for granting system access when employees join or change roles, and revoking it within 24 hours of termination.

Quarterly Access Review Process

Structured review of all user accounts and their access rights to confirm appropriateness and remove stale or excessive permissions.

Physical Access Controls

Controls restricting physical access to offices, data centers, and server rooms to authorized personnel only.

Logical and Physical Access Boundary Controls

Network and infrastructure controls that enforce boundaries between public-facing systems, internal networks, and restricted production environments.

Firewall and Network Security

Firewall rules and network monitoring controls that restrict unauthorized network traffic into and between systems.

Encryption at Rest

Encryption of all data-at-rest in databases, object storage, and backups using industry-standard algorithms.

Encryption in Transit (TLS)

Enforcement of TLS 1.2+ for all data transmitted over networks, including internal service-to-service communication.

Endpoint Protection (EDR/Antivirus)

Endpoint detection and response software on all corporate laptops and workstations used to access production systems or customer data.

Vulnerability Management Program

Continuous scanning of production infrastructure and applications for known vulnerabilities, with SLA-based remediation.

Annual Penetration Testing

Annual external penetration test of production infrastructure and applications by an independent third party.

Security Monitoring and SIEM

Centralized log aggregation and automated alerting for security-relevant events across production systems.

Security Incident Response Plan

Documented and tested plan for detecting, containing, eradicating, and recovering from security incidents.

Post-Incident Review Process

Blameless post-mortems after security incidents to identify root causes, contributing factors, and preventive actions.

Change Management Process

Formal process for requesting, approving, testing, and documenting changes to production infrastructure and systems.

Code Review and Approval Process

Peer code review requirement for all changes to production application code before merging.

Deployment and Release Management

Controlled deployment pipeline with automated testing gates to prevent untested or unauthorized code from reaching production.

Security Commitments Documentation

Published security commitments to customers and stakeholders, documented in contracts, SLAs, and public security documentation.

Capacity Planning and Monitoring

Processes to ensure infrastructure capacity meets current and projected demand, preventing availability failures due to resource exhaustion.

Availability Monitoring and Alerting

Continuous uptime monitoring with automated alerting and defined on-call response procedures to minimize downtime.

Backup and Disaster Recovery Testing

Automated backups with documented RPO/RTO targets and regularly tested restoration procedures.

Data Classification and Handling Policy

Policy defining data classification tiers (e.g., Public, Internal, Confidential, Restricted) and the handling requirements for each tier.

Data Retention and Secure Disposal Policy

Policy defining retention periods for each data type and procedures for secure disposal of data at end-of-life.

Input Validation Controls

Application-layer controls that validate and sanitize all user-supplied input to prevent injection attacks and data corruption.

Processing Error Monitoring and Logging

Centralized error logging and alerting to detect and investigate data processing failures, corruption, and anomalies.

Privacy Notice and Consent Management

Public privacy notice that clearly communicates what personal data is collected, how it is used, and users' rights.

User Choice and Consent Mechanisms

Technical controls enabling users to exercise data subject rights including opt-out of certain processing and consent withdrawal.

Data Minimization and Collection Limitation

Policy and technical controls ensuring only data necessary for the stated purpose is collected from individuals.

Data Use Limitation Policy

Policy restricting the use of personal data to the purposes disclosed in the privacy notice and agreed to by the data subject.

Privacy Data Retention Practices

Defined and enforced retention schedules for personal data, with automatic deletion or anonymization at end-of-retention.

Data Disclosure and Third-Party Sharing Controls

Controls governing disclosure of personal data to third parties, including contractual safeguards and approval processes.

Data Quality and Accuracy Processes

Processes ensuring personal data is accurate, complete, and current, with mechanisms for individuals to correct inaccurate data.

Privacy Program Monitoring and Compliance

Ongoing monitoring of the privacy program's effectiveness, including annual privacy impact assessments and regulatory compliance tracking.

Remote Access VPN Policy

Policy and technical enforcement requiring VPN use for access to internal systems and production environments from outside the corporate network.

Security Awareness Training

Annual security awareness training for all employees covering phishing, social engineering, password hygiene, and data handling responsibilities.