Security Compliance SOC2 Controls

updated May 29th, 2022

Access Security

  • A list of system assets, components, and respective owners are maintained and reviewed at least annually

  • Personnel are assigned unique IDs to access sensitive systems, networks, and information

  • Personnel are required to use strong, complex passwords and a second form of authentication to access sensitive systems, networks, and information

  • An Access Control and Termination Policy governs authentication and access to applicable systems, data, and networks

  • Non-console access to production infrastructure is restricted to users with a unique SSH key or access key

  • Administrative access to production infrastructure is restricted based on the principle of least privilege

  • Upon termination or when internal personnel no longer require access, system access is removed, as applicable

  • System owners conduct scheduled user access reviews of production servers, databases, and applications to validate internal user access is commensurate with job responsibilities

  • Service data is encrypted-at-rest and encrypted-in-transit

  • An Encryption and Key Management Policy supports the secure encryption and decryption of app secrets, and governs the use of cryptographic controls

Availability

  • System tools monitors for uptime and availability based on predetermined criteria

  • The system is configured for high availability to support continuous availability, when applicable

  • Full backups are performed and retained in accordance with the Business Continuity and Disaster Recovery Policy

  • Business Continuity and Disaster Recovery Policy governs required processes for restoring the service or supporting infrastructure after suffering a disaster or disruption

  • Backed-up data is restored to a non-production environment at least annually to validate the integrity of backups

  • The Business Continuity and Disaster Recovery Plan is periodically tested via tabletop exercises or equivalents.

Change Management

  • Baseline configurations and codebases for production infrastructure, systems, and applications are securely managed

  • Software changes are tested prior to being deployed into production

  • System changes are approved by at least 1 independent person prior to deployment into production

  • Development, staging, and production environments are segregated

  • Production data is not used in the development and testing environments, unless required for debugging customer issues

  • A Configuration and Asset Management Policy governs configurations for new sensitive systems

  • A Change Management Policy governs the documenting, tracking, testing, and approving of system, network, security, and infrastructure changes

  • A Secure Development Policy defines the requirements for secure software and system development and maintenance

Communications

  • Descriptions of the company's services and systems are available to both internal personnel and external users

  • Security commitments and expectations are communicated to both internal personnel and external users via the company's website

  • Terms of Service or the equivalent are published or shared to external users

  • Critical information is communicated to external parties, as applicable

  • A confidential reporting channel is made available to internal personnel and external parties to report security and other identified concerns

  • A Privacy Policy to both external users and internal personnel. This policy details the company's privacy commitments

 

Confidentiality

  • Procedures are in place to retain customer data based on agreed-upon customer requirements or in line with information security policies

  • Access to, erasure of, or destruction of customer data is restricted to personnel that need access based on the principle of least privilege

  • Upon customer request, Company requires that data that is no longer needed from databases and other file stores is removed in accordance with agreed-upon customer requirements

  • A Data Classification Policy details the security and handling protocols for sensitive data

  • A Data Retention and Disposal Policy specifies how customer data is to be retained and disposed of based on compliance requirements and contractual obligations

Incident Response

  • An Incident Response Plan outlines the process of identifying, prioritizing, communicating, assigning and tracking confirmed incidents through to resolution

  • Identified incidents are documented, tracked, and analyzed according to the Incident Response Plan

  • After any identified security incident has been resolved, management provides a "Lessons Learned" document to the team in order to continually improve Optimalex security and operations

  • The Incident Response Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Incident Response Plan based on the test results

Network Security

  • Company endpoints are managed and configured with a strong password policy, anti-virus, and hard drive encryption

  • Security tools are implemented to provide monitoring of network traffic to the production environment

  • Configurations ensure available networking ports, protocols, services, and environments are restricted as necessary, including firewalls

  • Logging and monitoring software is used to collect data from infrastructure to detect potential security threats, unusual system activity, and monitor system performance, as applicable

  • Alerting software is used to notify impacted teams of potential security events

  • A Network Security Policy identifies the requirements for protecting information and systems within and across networks

Risk Assessment

  • A Risk Assessment and Treatment Policy governs the process for conducting risk assessments to account for threats, vulnerabilities, likelihood, and impact with respect to assets, team members, customers, vendors, suppliers, and partners. Risk tolerance and strategies are also defined in the policy

  • Formal risk assessments are performed, which includes the identification of relevant internal and external threats related to security, availability, confidentiality, and fraud, and an analysis of risks associated with those threats

  • A risk register is maintained, which records the risk mitigation strategies for identified risks, and the development or modification of controls consistent with the risk mitigation strategy

  • A Vendor Risk Management Policy defines a framework for the onboarding and management of the vendor relationship lifecycle

  • Vendor SOC 2 reports (or equivalent) are collected and reviewed on at least an annual basis

  • New vendors are assessed in accordance with the Vendor Risk Management Policy prior to engaging with the vendor. Reassessment occurs at least annually

Vulnerability Management

  • A Vulnerability Management and Patch Management Policy outlines the processes to efficiently respond to identified vulnerabilities

  • Vulnerability scanning is performed on production infrastructure systems, and identified deficiencies are remediated on a timely basis

Organizational Management

  • A Code of Conduct outlines ethical expectations, behavior standards, and ramifications of noncompliance

  • The board of directors or equivalent entity function includes senior management and external advisors, who are independent from the company's operations. An information security team has also been established to govern cybersecurity

  • Senior management and/or board of directors meets at least annually to review business goals, company initiatives, resource needs, risk management activities, and other internal/external matters. The information security team meets at least annually to discuss security risks, roles & responsibilities, controls, changes, audit results and/or other matters as necessary

  • Internal personnel are evaluated via a formal performance review at least annually

  • A continuous monitoring solution monitors internal controls used in the achievement of service commitments and system requirements

  • Management maintains a formal organizational chart to clearly identify positions of authority and the lines of communication, and publishes the organizational chart to internal personnel

  • Background checks or their equivalent are performed before or promptly after a new hires start date, as permitted by local laws

  • Hiring managers screen new hires or internal transfers to assess their qualifications, experience, and competency to fulfill their responsibilities. New hires sign confidentiality agreements or equivalents upon hire

  • Internal personnel complete annual training programs for information security to help them understand their obligations and responsibilities related to security

  • An Acceptable Use Policy defines standards for appropriate and secure use of company hardware and electronic systems including storage media, communication tools and internet access

  • Personnel who violate information security policies are subject to disciplinary action and such disciplinary action is clearly documented in one or more policies

  • An Information Security Policy establishes the security requirements for maintaining the security, confidentiality, integrity, and availability of applications, systems, infrastructure, and data

  • An Internal Control Policy identifies how a system of controls should be maintained to safeguard assets, promote operational efficiency, and encourage adherence to prescribed managerial policies

  • A Performance Review Policy provides personnel context and transparency into their performance and career development processes

  • Management is responsible for the design, implementation, and management of the organization’s security policies and procedures. The policies and procedures are reviewed by management at least annually

  • Internal personnel review and accept applicable information security policies at least annually

  • Information security roles and responsibilities are outlined for personnel responsible for the security, availability, and confidentiality of the system

Physical Security

  • A Physical Security Policy that details physical security requirements for the company facilities is in place

  • Production facilities require all visitors to formally sign-in, unless preauthorization for the visitor exists

  • Processes are in place to create, modify or remove physical access to facilities such as data centers, office spaces, and work areas based on the needs of such individual

  • Processes are in place to periodically review physical access to ensure consistency with job responsibilities

  • Physical protections are in place to safeguard facilities, infrastructure, systems, and data from external and internal threats

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