SOC 2 Compliance Policies & Procedures

Table of Contents

Access Control

• Access Control Policy (AC-POL-001)
• Acceptable Use Policy (AC-POL-002)

Procedures

• Acceptable Use Policy Violation Investigation Procedure (AC-PROC-001)
• Bring Your Own Device (BYOD) Onboarding Procedure (AC-PROC-002)
• User Access Review Procedure (AC-PROC-003)
• Access Control Management Procedure (AC-PROC-004)

Engineering

Policies

• Secure Software Development Policy (ENG-POL-001)
• Change Control Policy (ENG-POL-002)
• Infrastructure Security Policy (ENG-POL-003)

Procedures

• Application Security Testing Procedure (ENG-PROC-001)
• Third-Party Component Security Review Procedure (ENG-PROC-002)
• Standard Change Management Procedure (ENG-PROC-003)
• Emergency Change Management Procedure (ENG-PROC-004)
• System Hardening and Baselining Procedure (ENG-PROC-005)
• Privileged Infrastructure Access Review Procedure (ENG-PROC-006)

Operational

Policies

• Encryption and Key Management Policy (OP-POL-001)
• Mobile Device Policy (BYOD) (OP-POL-002)
• Data Retention and Disposal Policy (OP-POL-003)
• Human Resources Security Policy (OP-POL-004)

Procedures

• Cryptographic Key Lifecycle Management Procedure (OP-PROC-001)
• Mobile Device Onboarding and Security Configuration Procedure (OP-PROC-002)
• Lost or Stolen Mobile Device Response Procedure (OP-PROC-003)
• Secure Media Disposal and Sanitization Procedure (OP-PROC-004)
• Legal Hold Procedure (OP-PROC-005)
• Workforce Screening and Background Check Procedure (OP-PROC-006)
• Employee Onboarding and Offboarding Security Procedure (OP-PROC-007)
• Security Policy Sanction Procedure (OP-PROC-008)
• Software and Extension Approval Procedure (OP-PROC-009)

Resilience

Policies

• Incident Response Policy (RES-POL-001)

Procedures

• Incident Response Plan (IRP) (RES-PROC-001)
• Data Breach Risk Assessment Procedure (RES-PROC-002)
• Post-Incident Review Procedure (RES-PROC-003)

Security

Policies

• Information Security Policy (SEC-POL-001)
• Risk Management Policy (SEC-POL-003)
• Data Classification and Handling Policy (SEC-POL-004)
• Vendor and Third-Party Risk Management Policy (SEC-POL-005)
• Physical Security Policy (SEC-POL-006)
• Vulnerability Management Policy (SEC-POL-008)

Procedures

• Internal Audit Procedure (SEC-PROC-002)
• Access Control Policy Exception Procedure (SEC-PROC-003)
• Risk Assessment Procedure (SEC-PROC-004)
• Vendor Risk Assessment and Onboarding Procedure (SEC-PROC-005)
• Facility Access Management Procedure (SEC-PROC-006)
• Vulnerability Management Procedure (SEC-PROC-008)
• Vulnerability Management Exception Procedure (SEC-PROC-009)

ISMS Supplements

• Schedule of Security Procedures (ISMS-SUP-001)

About This Framework

Building a comprehensive SOC 2 compliance program requires robust policies and procedures that satisfy auditor requirements while remaining practical for implementation. This framework provides a complete Information Security Management System (ISMS) designed specifically for SOC 2 Trust Services Criteria compliance.

The documentation establishes security governance, risk management, access controls, system operations, and incident response capabilities that auditors expect to see in mature organizations. Each document includes clear SOC 2 control mappings and professional language suitable for regulatory review.

Implementation Approach

This framework implements a comprehensive approach to SOC 2 compliance:

• Policies establish security requirements and management commitment
• Procedures provide detailed implementation guidance and operational steps
• ISMS Supplements offer implementation roadmaps and organizational tools
• Control Mapping ensures complete coverage of SOC 2 Trust Services Criteria

Start by reviewing the Information Security Policy (SEC-POL-001) to understand the overall ISMS structure, then examine policies and procedures relevant to your organization’s specific needs.

SOC 2 Trust Services Coverage

This framework provides complete coverage of the Common Criteria (CC1-CC8): Control Environment, Communication, Risk Management, Monitoring, Control Activities, Logical Access, System Operations, Change Management.

Download Complete Documentation

For convenience, all policies and procedures are available as a comprehensive document set:

📄 Download Complete SOC 2 ISMS Framework (PDF)

Contributing

Contributions are welcome! If you have suggestions for improving this SOC 2 compliance framework, please open an issue to discuss your ideas or submit a pull request with proposed enhancements.

Disclaimer of Liability

These templates are provided on an “as-is” basis, without warranty of any kind, express or implied. The authors and contributors of this project are not lawyers or compliance consultants. The information provided here is for general informational purposes only and does not constitute legal or professional advice. By using these templates, you agree that you are solely responsible for ensuring your organization’s compliance with all applicable laws, regulations, and standards. The authors and contributors of this repository assume no liability for any damages, losses, or legal issues that may arise from the use, misuse, or interpretation of these documents. Always consult with a qualified professional for advice tailored to your specific situation.

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This SOC 2 compliance framework is maintained by Open Access Policies and is available under a CC-BY-SA-4.0 license for organizations worldwide.