Security Compliance Documentation

SOC 2 Type I/II and ISO 27001 Certification Readiness

This documentation library contains all policies, procedures, templates, and frameworks required to support SOC 2 and ISO 27001 compliance certification.

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1. Core Policies

Foundational security policies that establish governance and requirements.

Document	ID	Description
Information Security Policy	POL-001	Master security policy establishing ISMS governance
Access Control Policy	POL-002	User access management and authorization
Password & Authentication Policy	POL-003	Authentication standards and password requirements
Encryption & Key Management Policy	POL-004	Cryptographic controls and key lifecycle
Data Classification & Handling Policy	POL-005	Data categorization and protection requirements
Change Management Policy	POL-006	Change control for systems and configurations
Logging & Monitoring Policy	POL-007	Audit logging and security monitoring
Incident Response Policy	POL-008	Security incident handling requirements
Backup & Recovery Policy	POL-009	Data backup and disaster recovery
Third-Party/Vendor Security Policy	POL-010	Vendor risk management requirements

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2. Operational Procedures

Step-by-step procedures implementing policy requirements.

Document	ID	Description
Access Provisioning/De-provisioning	PROC-001	User onboarding and offboarding access
MFA Configuration Procedure	PROC-002	Multi-factor authentication setup
Secure Configuration Standards	PROC-003	Hardening standards for infrastructure
Patch & Vulnerability Management	PROC-004	Vulnerability scanning and patching
Incident Response Playbook	PROC-005	Detailed incident handling procedures

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3. Risk & Audit Support

Templates and tools for risk management and audit preparation.

Document	ID	Description
Risk Assessment Template	RISK-001	Risk identification and scoring framework
Risk Treatment Plan	RISK-002	Risk mitigation tracking
Statement of Applicability	RISK-003	ISO 27001 control applicability
Control Mapping Matrix	RISK-004	SOC 2 ↔ ISO 27001 control mapping
Evidence & Audit Log Tracker	RISK-005	Audit evidence collection log

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4. Compliance Framework

Overview pages for compliance frameworks and programs.

Document	ID	Description
SOC 2 Controls Overview	FW-001	Trust Services Criteria reference
ISO 27001 ISMS Overview	FW-002	Information Security Management System
Internal Audit Schedule	FW-003	Audit planning and checklist
Security Awareness & Training Plan	FW-004	Employee security training program

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5. Supporting Templates

Reusable forms and templates for compliance operations.

Document	ID	Description
Document Control Template	TPL-001	Version history and control template
Policy Acknowledgement Form	TPL-002	Employee policy sign-off
Incident Report Form	TPL-003	Security incident documentation
Change Request Form	TPL-004	Change management request form

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Compliance Roadmap

Phase 1: SOC 2 Type I Readiness

• Complete all Core Policies (POL-001 through POL-010)
• Implement Operational Procedures (PROC-001 through PROC-005)
• Complete Risk Assessment (RISK-001)
• Populate Control Mapping Matrix (RISK-004)
• Collect baseline evidence for all controls

Phase 2: SOC 2 Type II Preparation

• Operate controls for observation period (3-12 months)
• Maintain Evidence & Audit Log Tracker (RISK-005)
• Conduct internal audits per schedule (FW-003)
• Complete security awareness training (FW-004)

Phase 3: ISO 27001 Extension

• Complete Statement of Applicability (RISK-003)
• Document ISMS scope and boundaries (FW-002)
• Conduct management review
• Prepare for Stage 1 and Stage 2 audits

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Quick Reference: Control Domains

SOC 2 Trust Services Criteria

• CC1: Control Environment
• CC2: Communication and Information
• CC3: Risk Assessment
• CC4: Monitoring Activities
• CC5: Control Activities
• CC6: Logical and Physical Access Controls
• CC7: System Operations
• CC8: Change Management
• CC9: Risk Mitigation

ISO 27001 Annex A Domains

• A.5: Information Security Policies
• A.6: Organization of Information Security
• A.7: Human Resource Security
• A.8: Asset Management
• A.9: Access Control
• A.10: Cryptography
• A.11: Physical and Environmental Security
• A.12: Operations Security
• A.13: Communications Security
• A.14: System Acquisition, Development and Maintenance
• A.15: Supplier Relationships
• A.16: Information Security Incident Management
• A.17: Business Continuity Management
• A.18: Compliance

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Document Maintenance

Activity	Frequency	Owner
Policy Review	Annual	CISO / Security Lead
Procedure Updates	As needed	Process Owner
Risk Assessment	Annual / After major changes	Risk Manager
Evidence Collection	Continuous	Control Owners
Internal Audit	Quarterly / Semi-annual	Internal Audit

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Last Updated: 2026-01-11
Document Owner: Security Team
Next Review: 2027-01-11