Information Security Policy (SEC-POL-001)

Information Security Policy (SEC-POL-001)

1. Objective

This policy establishes [Company Name]’s Information Security Management System (ISMS) to achieve SOC 2 compliance. This policy defines comprehensive security controls to protect the confidentiality and integrity of company information assets while maintaining practical implementation.

2. Scope

This policy applies to all [Company Name] workforce members, including employees, contractors, and temporary staff. It encompasses all company information assets, systems, and data, whether stored on-premises, in cloud services, or accessed remotely. This policy also applies to third parties and vendors who access company systems or data.

3. Policy

[Company Name] is committed to implementing comprehensive information security controls that meet SOC 2 Common Criteria requirements.

3.1 Security Governance and Management

[Company Name] establishes effective security governance.

  • An [Role Title, e.g., IT Manager/Security Officer] is designated with responsibility for information security. This role may be combined with other IT responsibilities as appropriate.

  • Security roles and responsibilities are documented and communicated to all workforce members.

  • Information security is integrated into business processes and system changes through documented procedures.

3.2 Risk Management

[Company Name] implements a comprehensive risk management approach focused on SOC 2 requirements.

  • An annual risk assessment is conducted to identify security risks to company systems and data.

  • High and medium risks are documented and addressed with appropriate controls.

  • A risk register is maintained to track identified risks and mitigation efforts.

3.3 Access Control

Access to company systems and data is controlled through formal processes that implement least privilege principles.

  • All users have unique user accounts and are authenticated before accessing company systems.

  • Multi-factor authentication (MFA) is implemented for all systems containing sensitive data.

  • User access is reviewed quarterly for critical systems and annually for all other systems.

  • Privileged access is monitored and restricted to authorized personnel only.

3.4 Security Awareness and Training

All workforce members receive security awareness training to understand their security responsibilities.

  • New workforce members complete security awareness training within [Number, e.g., 30] days of hire.

  • Annual refresher training is provided to all workforce members.

  • Training completion is tracked and documented.

3.5 Incident Response

[Company Name] maintains effective incident response capabilities to address security incidents.

  • Documented procedures are in place for incident detection, analysis, and response.

  • Incidents are classified by severity and handled according to appropriate response procedures.

  • All incidents are documented and tracked through resolution.

  • A designated incident response team is available to coordinate incident response activities.

3.6 System Monitoring

Continuous monitoring is implemented to detect security threats and anomalous activities.

  • Security logs are collected from all critical systems and applications.

  • Automated monitoring tools provide real-time alerting for security events.

  • Log reviews are conducted regularly to identify potential security issues.

3.7 Data Protection

Company and customer data is protected through comprehensive data protection measures.

  • Data classification standards define handling requirements for different data types.

  • Encryption is implemented for data in transit and at rest for all sensitive data.

  • Data retention and disposal procedures ensure proper data lifecycle management.

  • Regular backups are performed and tested to ensure data recoverability.

3.7 Business Continuity

Critical business functions shall be protected through continuity planning.

  • Critical systems and data shall be identified and documented.

  • Backup procedures shall be implemented and tested at least annually.

  • Recovery procedures shall be documented and available to key personnel.

3.8 Vendor Management

Third-party vendors are evaluated and managed to ensure they meet [Company Name]’s security requirements.

  • Vendor risk assessments are conducted before onboarding new vendors.

  • Contracts with vendors include appropriate security requirements and data protection clauses.

  • Vendor security practices are reviewed annually.

3.9 Change Management

Changes to systems and applications are managed through formal change control processes.

  • Change requests are documented and approved before implementation.

  • Testing procedures verify that changes do not introduce security vulnerabilities.

  • Emergency changes are documented and reviewed post-implementation.

3.10 Compliance

[Company Name] maintains compliance with applicable regulations and standards, with primary focus on SOC 2 requirements.

  • Regular audits and assessments are conducted to verify compliance.

  • Compliance gaps are documented and addressed through corrective action plans.

  • Management receives regular reports on compliance status.

4. Roles and Responsibilities

Chief Executive Officer (CEO)

  • Provides executive leadership and accountability for the overall ISMS.
  • Allocates appropriate resources for security initiatives.
  • Demonstrates commitment to security through leadership actions.

Chief Information Security Officer (CISO)

  • Manages the day-to-day operations of the ISMS.
  • Develops and maintains security policies and procedures.
  • Conducts security risk assessments and implements controls.
  • Reports security metrics and incidents to executive management.

IT Personnel

  • Implement and maintain technical security controls.
  • Monitor systems for security events and respond to incidents.
  • Ensure systems are configured according to security standards.

All Workforce Members

  • Follow security policies and procedures in their daily work.
  • Report suspected security incidents promptly.
  • Complete required security training.
  • Protect company and customer information according to data handling requirements.

5. Policy Review and Updates

This policy is reviewed annually and updated as needed to ensure continued effectiveness and compliance with changing business requirements and regulatory standards.

  • The CISO leads the annual policy review process.
  • Updates are approved by executive management before implementation.
  • All workforce members are notified of policy changes and receive updated training as required.

6. Non-Compliance

Failure to comply with this policy may result in disciplinary action, up to and including termination of employment. Non-compliance incidents are investigated and documented according to company HR policies.

6. Responsibilities

Role Responsibility
Executive Leadership Provide support and resources for the information security program. Approve security policies and ensure accountability.
IT Manager/Security Officer Develop, implement, and maintain security policies and procedures. Oversee security operations and incident response.
IT Department Implement technical security controls and support security operations.
Human Resources Integrate security requirements into hiring processes and manage workforce security training.
All Workforce Members Comply with security policies, complete required training, and report security incidents or concerns.
Managers/Supervisors Ensure their teams comply with security policies and conduct required access reviews.