CH 03 · OPEN · OPTIMAL FEDERAL

SOC 2 Type II — TSC 2017 (revised 2022)

2022
Tenant
Department of Acme — Information Technology (t-acme-state)
Contact
ciso@acme.state.example.gov
Audit window
2026-04-15 03:07:09 UTC → 2026-05-15 03:07:09 UTC
Generated
2026-05-15 03:07:09 UTC
15Controls
13Implemented
0Partial
1Customer
1POAM
0N/A
Control Title Status Evidence
CC1.1 Demonstrates Commitment to Integrity and Ethical Values customer responsibility Customer organization's responsibility.
Customer org governance.
CC2.1 Communication and Information — Internal implemented Incident notification procedure ships with every contract; SLA included.
CC6.1 Logical and Physical Access Controls — Software implemented API Gateway enforces API key auth. Admin access via cloud-native MFA. NACL denies SSH/RDP.
CC6.6 Logical Access — Authentication for External Users implemented sk-optimal-* API key validated at the edge; usage plans rate-limit.
CC6.7 Restriction of Information Flow implemented VPCE-restricted egress to AWS services; NAT EIP single allowlistable IP for cross-cloud.
CC6.8 Prevention of Malicious Software implemented ECR image scanning. WAFv2 (POAM-014) blocks OWASP top 10.
CC7.1 Detection of Configuration Changes implemented AWS Config + GuardDuty + Access Analyzer + Security Hub aggregator.
CC7.2 Monitoring implemented CloudWatch metrics + alarms (latency, errors, throttles). GuardDuty findings.
CC7.3 Incident Response Procedures implemented Incident procedure emitter ships per-tenant. SLA-bound notification.
CC8.1 Change Management implemented Terraform PR review. ECR immutable tags. CodeBuild + CodeDeploy canary.
A1.1 Availability — Performance Monitoring implemented Lambda + API Gateway are regional managed services. CW alarms on errors / latency.
A1.2 Availability — Backup implemented DDB PITR (35 d). CT S3 versioned + Glacier. Single-AZ NAT documented as POAM.
A1.3 Availability — Recovery Testing poam Contingency plan documented; quarterly restore drill cadence pending.
POAM: POAM-RECOVERY-DRILL
C1.1 Confidentiality — Identification and Maintenance implemented Zero-persistence: prompt + response bodies NEVER written to disk / logs / store. Audit row contains only operational metadata.
C1.2 Confidentiality — Disposal implemented Body content does not exist at rest; nothing to dispose of. Metadata retention follows the audit table schedule.