SOC 2 Type II Readiness Guide

SOC 2 Type II Readiness Guide

Overview

This document maps HeliosDB Nano’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.md, CONTRIBUTING.md
CC1.2	Board oversight	Governance documentation	docs/governance/GOVERNANCE.md
CC1.3	Management establishes structures	Organizational structure	docs/governance/GOVERNANCE.md
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	docs/ directory
CC2.2	External communication	Public documentation, API docs	README.md, docs/API_REFERENCE.md
CC2.3	Security policies communicated	Security documentation	SECURITY.md, docs/compliance/

CC3: Risk Assessment

Criteria	Control	HeliosDB Implementation	Evidence
CC3.1	Risk identification	Threat modeling, risk register	docs/series-a/RISK_REGISTER.md
CC3.2	Risk analysis	Security assessments	Security audit reports
CC3.3	Fraud risk consideration	Security controls	docs/compliance/SECURITY_POLICY.md
CC3.4	Change impact assessment	Change management process	docs/compliance/CHANGE_MANAGEMENT.md

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	docs/compliance/INCIDENT_RESPONSE.md

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	docs/compliance/, docs/enterprise/

CC6: Logical and Physical Access Controls

Criteria	Control	HeliosDB Implementation	Evidence
CC6.1	Access to infrastructure	Role-based access	docs/compliance/ACCESS_CONTROL.md
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, ZKE, TLS 1.3
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	docs/enterprise/RUNBOOKS.md
CC7.4	Incident response	IR procedures	docs/compliance/INCIDENT_RESPONSE.md
CC7.5	Recovery from incidents	Recovery procedures	docs/enterprise/DISASTER_RECOVERY.md

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	docs/governance/RELEASE_PROCESS.md

CC9: Risk Mitigation

Criteria	Control	HeliosDB Implementation	Evidence
CC9.1	Vendor management	Dependency management	Cargo.toml, license review
CC9.2	Business continuity	BC/DR plans	docs/enterprise/BUSINESS_CONTINUITY.md

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       │ (RS256/ES256 signed)         │
│                    │ • mTLS      │ (Certificate-based)          │
│                    └─────────────┘                              │
└─────────────────────────────────────────────────────────────────┘

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            AES-256-GCM (client-managed keys)      │
│  Layer 4: Field-Level    Per-column encryption (optional)       │
└─────────────────────────────────────────────────────────────────┘

Audit Logging

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

Currently Implemented

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

In Progress

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

Planned

• 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: compliance@heliosdb.io
• Security Team: security@heliosdb.io