---
title: "SOC 2 Type II Readiness Guide"
---

# SOC 2 Type II Readiness Guide

## Overview

This document maps HeliosDB-Lite's security controls to SOC 2 Trust Services Criteria, demonstrating readiness for SOC 2 Type II certification.

## Trust Services Criteria Mapping

### CC1: Control Environment

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC1.1 | Commitment to integrity and ethical values | Code of Conduct, Contribution Guidelines | Code of conduct and contribution guidelines |
| CC1.2 | Board oversight | Governance documentation | Governance documentation (internal) |
| CC1.3 | Management establishes structures | Organizational structure | Governance documentation (internal) |
| CC1.4 | Commitment to competence | Hiring and training policies | HR documentation |
| CC1.5 | Accountability enforcement | Performance management | HR documentation |

### CC2: Communication and Information

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC2.1 | Internal communication | Internal documentation | Internal documentation set |
| CC2.2 | External communication | Public documentation, API docs | [Public documentation](/docs/lite/), [REST API reference](/docs/lite/api/rest-api/) |
| CC2.3 | Security policies communicated | Security documentation | [Security policy](/docs/lite/compliance/security_policy/), compliance documents |

### CC3: Risk Assessment

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC3.1 | Risk identification | Threat modeling, risk register | Risk register (internal) |
| CC3.2 | Risk analysis | Security assessments | Security audit reports |
| CC3.3 | Fraud risk consideration | Security controls | [Security policy](/docs/lite/compliance/security_policy/) |
| CC3.4 | Change impact assessment | Change management process | [Change management policy](/docs/lite/compliance/change_management/) |

### CC4: Monitoring Activities

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC4.1 | Ongoing monitoring | Logging, metrics, alerting | Built-in tracing, metrics |
| CC4.2 | Deficiency evaluation | Incident management | Incident response plan (internal) |

### CC5: Control Activities

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC5.1 | Selection of controls | Risk-based control selection | Security architecture docs |
| CC5.2 | Technology controls | Technical implementation | Source code, configurations |
| CC5.3 | Policies and procedures | Documented procedures | Compliance and enterprise documentation |

### CC6: Logical and Physical Access Controls

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC6.1 | Access to infrastructure | Role-based access | [Access control policy](/docs/lite/compliance/access_control/) |
| CC6.2 | System access registration | User provisioning | Authentication system |
| CC6.3 | Access removal | Deprovisioning process | Access control procedures |
| CC6.4 | Access review | Periodic access reviews | Audit logs |
| CC6.5 | Access authentication | Strong authentication | TLS, JWT, password policies |
| CC6.6 | Access protection | Encryption in transit/at rest | TDE, TLS 1.3 (ZKE planned) |
| CC6.7 | Transmission encryption | TLS implementation | `rustls` configuration |
| CC6.8 | Destruction of data | Secure deletion | Zeroize library |

### CC7: System Operations

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC7.1 | Vulnerability detection | Security scanning | CI/CD pipeline |
| CC7.2 | Incident monitoring | Logging and alerting | Tracing infrastructure |
| CC7.3 | Security analysis | Log analysis | Operational runbooks (internal) |
| CC7.4 | Incident response | IR procedures | Incident response plan (internal) |
| CC7.5 | Recovery from incidents | Recovery procedures | [Disaster recovery plan](/docs/lite/enterprise/disaster_recovery/) |

### CC8: Change Management

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC8.1 | Change authorization | PR approval process | GitHub branch protection |
| CC8.2 | Change testing | CI/CD testing | GitHub Actions workflows |
| CC8.3 | Change deployment | Release process | Release process (internal) |

### CC9: Risk Mitigation

| Criteria | Control | HeliosDB Implementation | Evidence |
|----------|---------|-------------------------|----------|
| CC9.1 | Vendor management | Dependency management | Dependency manifest, license review |
| CC9.2 | Business continuity | BC/DR plans | Business continuity plan (internal) |

## Security Controls Summary

### Authentication & Authorization

```
┌─────────────────────────────────────────────────────────────────┐
│                    Authentication Flow                          │
├─────────────────────────────────────────────────────────────────┤
│  Client → TLS 1.3 → PostgreSQL Auth → Row-Level Security       │
│                           │                                     │
│                    ┌──────┴──────┐                              │
│                    │  Methods    │                              │
│                    ├─────────────┤                              │
│                    │ • Password  │ (Argon2id/PBKDF2 hashed)    │
│                    │ • SCRAM-256 │ (PostgreSQL compatible)      │
│                    │ • JWT       │ (HS256, REST API)            │
│                    │ • mTLS      │ (planned)                    │
│                    └─────────────┘                              │
└─────────────────────────────────────────────────────────────────┘
```

### Encryption Architecture

```
┌─────────────────────────────────────────────────────────────────┐
│                    Encryption Layers                            │
├─────────────────────────────────────────────────────────────────┤
│  Layer 1: Transit        TLS 1.3 (ECDHE + AES-256-GCM)         │
│  Layer 2: TDE            AES-256-GCM (server-managed keys)      │
│  Layer 3: ZKE            client-managed keys (planned)          │
│  Layer 4: Field-Level    Per-column encryption (optional)       │
└─────────────────────────────────────────────────────────────────┘
```

### Audit Logging (Planned)

Built-in audit logging is planned for HeliosDB Lite; the table lists the events it will
record. Until it is available, record changes to sensitive tables with triggers (see
[Audit Logging](/docs/lite/features/audit_logging/)) and keep the server logs.

| Event Type | Logged Fields | Retention |
|------------|---------------|-----------|
| Authentication | User, timestamp, IP, result | 90 days |
| Authorization | User, resource, action, result | 90 days |
| Data Access | User, table, query type, timestamp | 30 days |
| Schema Changes | User, DDL statement, timestamp | 1 year |
| Admin Actions | User, action, parameters, timestamp | 1 year |

## Gap Analysis

### Available Today

- Encryption at rest (TDE)
- Encryption in transit (TLS 1.3)
- Authentication (multiple methods)
- Row-level security
- Secure key management
- Change management (PR process)
- Vulnerability scanning (static analysis, cargo-audit)

### In Progress

- SOC 2 Type II audit engagement
- Penetration testing (annual)
- Security awareness training documentation
- Vendor risk assessment process

### Planned

- Built-in audit logging
- Security Operations Center (SOC) monitoring
- Bug bounty program
- Third-party security audit
- ISO 27001 certification

## Evidence Collection

### Automated Evidence

| Evidence Type | Collection Method | Storage |
|---------------|-------------------|---------|
| Access logs | Application logging | Log aggregation service |
| Change history | Git commits | GitHub |
| Test results | CI/CD pipeline | GitHub Actions |
| Vulnerability scans | cargo-audit | CI/CD artifacts |
| Code reviews | Pull request reviews | GitHub |

### Manual Evidence

| Evidence Type | Collection Method | Frequency |
|---------------|-------------------|-----------|
| Policy reviews | Annual review cycle | Annually |
| Access reviews | Manual audit | Quarterly |
| Risk assessments | Security team review | Annually |
| Penetration tests | Third-party engagement | Annually |

## Audit Preparation Checklist

### Pre-Audit (3 months before)

- [ ] Review all policies and procedures
- [ ] Conduct internal control testing
- [ ] Update risk assessment
- [ ] Verify evidence collection systems
- [ ] Brief relevant personnel

### During Audit

- [ ] Provide auditor access to systems
- [ ] Coordinate evidence requests
- [ ] Address auditor questions
- [ ] Document control walkthroughs

### Post-Audit

- [ ] Review draft report
- [ ] Address any findings
- [ ] Implement remediation plans
- [ ] Obtain final report

## Contact

For SOC 2 compliance inquiries:
- **Email**: security@heliosdb.com
- **Security Team**: security@heliosdb.com