SOC2 & FedRAMP Compliance: A Step-by-Step Implementation Plan
Navigating the complexities of SOC2 and FedRAMP compliance can be daunting, but it's a crucial step for any organization handling sensitive data, especially in sectors like government and healthcare. This comprehensive guide breaks down the implementation process into manageable steps, providing a clear roadmap for achieving and maintaining compliance. Let's dive in and make sense of this critical undertaking.
Executive Summary: Patriot Compliance Systems' Compliance-First Rebuild
At Patriot Compliance Systems, we're undertaking a compliance-first rebuild of our backend infrastructure to meet the rigorous standards of SOC2 Type II and FedRAMP Moderate certifications. Currently, our frontend is 85% complete, but our backend is still in the mock stage (0% real implementation). This plan outlines the necessary steps and technologies to achieve full compliance.
Our recommended tech stack includes:
- Infrastructure: AWS GovCloud (essential for FedRAMP compliance)
- Backend: Django 5.0 + Django REST Framework on ECS Fargate (a powerful and scalable combination)
- Database: RDS PostgreSQL with encryption at rest (ensuring data security at all times)
- Authentication: AWS Cognito with SAML federation for enterprise SSO (robust and secure user management)
- Events: Amazon SQS (for initial setup) transitioning to Amazon MSK (for scaling event processing)
- Frontend: Keeping our existing Next.js 14 on Vercel (with a potential migration to CloudFront for full FedRAMP adherence)
The implementation will follow this order: Infrastructure → Auth → Audit → RBAC → Encryption → Modules, ensuring a systematic and secure approach.
Demystifying SOC2: Proving Your Security Controls Work
To put it simply, SOC2 compliance is about demonstrating to an auditor that your security controls are not just in place, but that they actually work in practice. This involves proving the effectiveness of your systems over a sustained period.
| WHAT THE AUDITOR ASKS | WHAT YOU NEED IN CODE |
|---|---|
| "Who can access your system?" | Authentication (a robust login system) |
| "How do you verify it's really them?" | MFA (multi-factor authentication) |
| "Who can see what data?" | RBAC (role-based access control) |
| "Can User A see User B's data?" | Tenant isolation (data segregation) |
| "What did User X do on Tuesday?" | Audit logs (comprehensive activity recording) |
| "Is sensitive data protected?" | Encryption (for sensitive information like SSNs) |
| "How do you know if you're hacked?" | Monitoring + alerts (real-time threat detection) |
| "What's your backup plan?" | Backups + disaster recovery (data protection) |
The "observation period" is critical. Auditors will monitor your live system for 3-12 months to verify the consistent effectiveness of your controls, not just a one-time snapshot.
Patriot Compliance Systems - Master Implementation Plan
This plan outlines the specific steps and timeline for achieving SOC2 and FedRAMP compliance.
Actionable Steps and Timeline
Week 1:
- Apply for an AWS GovCloud account (this typically takes 30 minutes to apply, with a 3-5 day waiting period for approval).
- Register for the FMCSA Clearinghouse (allow 1 hour for registration, followed by a 2-4 week waiting period).
- Schedule demos with Vanta and Drata (leading compliance automation tools).
Weeks 2-4:
- Select and subscribe to either Vanta or Drata (budget around $12-15k/year).
- Obtain quotes from 2-3 qualified SOC2 auditors.
- Initiate contract discussions with TazWorks (for background checks).
- Initiate contract discussions with CRL (for drug testing services).
Months 2-3:
- Choose a SOC2 auditor and sign an engagement letter (expect costs in the $25-40k range).
- Utilize Vanta/Drata templates to develop comprehensive security policies (allocate approximately 30-40 hours for this).
- Enroll employees in mandatory security training (often included with Vanta/Drata).
Month 5:
- Conduct a readiness assessment with your chosen auditor.
- Schedule a penetration test by a qualified firm (budget $8-15k).
Months 6-12:
- Launch the system live, commencing the observation period.
- Respond to auditor requests promptly and thoroughly.
- Collect evidence on a monthly basis (a GRC tool significantly streamlines this process).
Month 12:
- Undergo the final audit, culminating in the SOC2 Type II report.
Addressing Common Questions
"Why do I need to write policies?"
Auditors assess whether you have security rules and whether you adhere to them. Lacking policies is an automatic non-compliance issue. Policies demonstrate your commitment to security best practices and provide a framework for consistent operations.
"Why do I need a GRC tool?"
A Governance, Risk, and Compliance (GRC) tool offers policy templates, automated evidence tracking, and streamlined report generation for auditors. It saves significant time and resources, potentially hundreds of hours, and ensures a more organized and efficient compliance process.
"Why does the observation period take so long?"
Auditors need to confirm that your controls function consistently over time, not just on a specific audit day. A 6-month minimum observation period is standard to ensure long-term effectiveness.
"Can we skip the pen test?"
No, penetration testing is a mandatory requirement for SOC2 compliance. It involves a third-party security firm attempting to identify vulnerabilities in your system.
"What if we fail the audit?"
The audit process is collaborative. You won't "fail" outright. Instead, the auditor will provide findings and recommendations for remediation. You'll have the opportunity to address the issues, and the auditor will re-evaluate. A final report is only issued once all critical issues are resolved.
What is SOC2?
SOC2 is essentially a security report card. An independent auditor evaluates your systems and issues a report verifying the effectiveness of your security controls. It's a critical benchmark for demonstrating your commitment to data protection.
Why is SOC2 Important?
- Enterprise Customers: Many enterprise-level clients require SOC2 compliance before engaging in business.
- Demonstrates Security Commitment: It signals to stakeholders that you take security seriously.
- Government & Healthcare: Often required for organizations working with sensitive government or healthcare data.
- Competitive Advantage: SOC2 compliance can differentiate you from competitors who haven't invested in security.
Key Areas the Auditor Checks
The SOC2 audit focuses on several Trust Services Criteria, including security, availability, processing integrity, confidentiality, and privacy. Here's a breakdown of what auditors look for:
| The Auditor Asks... | What You Need | Where It Lives |
|---|---|---|
| "Who can log in?" | Authentication system | CODE |
| "How do you verify identity?" | MFA (two-factor) | CODE |
| "Who can see what?" | Role-based permissions | CODE |
| "Is data separated by customer?" | Tenant isolation | CODE |
| "What did each user do?" | Audit logs | CODE |
| "Is sensitive data protected?" | Encryption | CODE |
| "How do you detect attacks?" | Monitoring & alerts | CODE + AWS |
| "What are your security rules?" | Written policies | CLIENT DOCUMENTS |
| "Do employees know the rules?" | Security training | CLIENT TASK |
| "What if something goes wrong?" | Incident response plan | CLIENT DOCUMENT |
| "Can you recover from disaster?" | Backup & recovery | CODE + AWS |
SOC2 Types: Type I vs. Type II
There are two main types of SOC2 reports:
| Type | What It Proves | Duration | You Want |
|---|---|---|---|
| Type I | "Controls exist at a point in time" | 1-2 months | No |
| Type II | "Controls work consistently over time" | 3-12 months observation | YES |
Type II is the gold standard, demonstrating that your security controls are effective over a period of time, not just on a single day. Customers and partners generally require Type II reports.
The SOC2 Timeline: A Step-by-Step Process
MONTH 1-5: Build the system with all security controls
↓
MONTH 5: Auditor does "readiness assessment" (are you ready?)
↓
MONTH 6: Fix any issues found
↓
MONTH 6-12: OBSERVATION PERIOD
• System is LIVE in production
• Auditor periodically checks that controls work
• You collect evidence (logs, screenshots, reports)
↓
MONTH 12: Auditor writes final report
↓
RESULT: SOC2 Type II Report (valid for 1 year)
Dividing the Labor: A Clear Responsibility Matrix
Achieving SOC2 and FedRAMP compliance is a collaborative effort. A clear division of responsibilities between the client and the development team is essential for success.
┌─────────────────────────────────────────────────────────────────────────────┐
│ │
│ CLIENT (Business Owner) DEVELOPER (You/Your Team) │
│ ═══════════════════════ ═════════════════════════ │
│ │
│ • Set up AWS account • Write all the code │
│ • Sign vendor contracts • Build infrastructure │
│ • Write security policies • Implement security controls │
│ • Train employees • Set up monitoring │
│ • Work with auditor • Fix bugs and issues │
│ • Pay the bills • Maintain the system │
│ │
│ 📋 PAPERWORK + DECISIONS 💻 TECHNICAL IMPLEMENTATION │
│ │
└─────────────────────────────────────────────────────────────────────────────┘
Essential Client Tasks: A Step-by-Step Guide
The client plays a crucial role in the compliance process, handling paperwork, vendor selection, policy creation, and coordination with the auditor. Here's a detailed breakdown of their responsibilities:
Step 1: AWS GovCloud Account Setup (Week 1)
What: Creating an AWS GovCloud account.
Why: AWS GovCloud provides FedRAMP-authorized infrastructure, crucial for government compliance.
How:
- Visit https://aws.amazon.com/govcloud-us/.
- Click "Request Access."
- Complete the form with your Company EIN, US address, and contact information.
- Expect a 3-5 business day wait for approval.
- Configure billing (credit card or invoicing).
Client provides: EIN, business address, authorized contact.
Time: 1-2 hours to apply, 3-5 days to get approved.
Step 2: Vendor Selection (Weeks 2-4)
A. GRC Tool (Compliance Management)
What: Selecting software to streamline compliance paperwork management.
Why: GRC tools offer policy templates, evidence tracking, and automated reporting for auditors.
Options:
| Tool | Cost | Recommendation |
|---|---|---|
| Vanta | ~$15,000/year | Most popular, excellent templates |
| Drata | ~$12,000/year | Good alternative |
| Secureframe | ~$10,000/year | Budget-friendly option |
Client action: Schedule demos, select a tool, and sign a contract.
B. SOC2 Auditor
What: Hiring a company to conduct the audit and issue the report.
Why: Independent audits are a core requirement for SOC2 compliance.
Options:
| Firm | Cost | Notes |
|---|---|---|
| Schellman | $25,000-40,000 | Well-known, thorough |
| A-LIGN | $25,000-40,000 | Large, experienced |
| Coalfire | $30,000-50,000 | Also specializes in FedRAMP |
| BARR Advisory | $20,000-35,000 | Smaller, highly responsive |
Client action: Obtain 2-3 quotes, select an auditor, and sign an engagement letter.
When to book: Months 2-3 (auditors get busy, so book early).
C. Penetration Testing Firm
What: Engaging security experts to attempt to hack your system.
Why: Annual penetration testing is required to identify vulnerabilities.
Options:
| Firm | Cost | Notes |
|---|---|---|
| Cobalt | $8,000-15,000 | Platform-based |
| Bugcrowd | $10,000-20,000 | Bug bounty model |
| Local firm | $5,000-15,000 | Ask your auditor for recommendations |
Client action: Get a quote and schedule the test for Month 5-6.
When: After the system is built, before the observation period begins.
D. Compliance Vendors (Specific to Your Product)
| Vendor | Purpose | Client Action |
|---|---|---|
| TazWorks | Background checks | Sign API agreement |
| CRL/FormFox | Drug testing | Sign API agreement |
| FMCSA | DOT clearinghouse | Register at clearinghouse.fmcsa.dot.gov |
Client action: Initiate contracts and provide details to the developer for integration.
Step 3: Security Policy Development (Weeks 3-8)
What: Creating documents outlining your organization's security rules.
Why: Auditors assess whether you have policies and adhere to them.
How: Use the templates provided by your GRC tool (Vanta/Drata) and fill in the specific details.
| Policy | What It Covers | Template? | Client Time |
|---|---|---|---|
| Information Security Policy | Overall security approach | Yes | 4-8 hours |
| Access Control Policy | Who gets access to what | Yes | 2-4 hours |
| Incident Response Plan | What to do if breached | Yes | 4-6 hours |
| Business Continuity Plan | How to recover from disaster | Yes | 4-6 hours |
| Data Classification Policy | How to label/handle data | Yes | 2-4 hours |
| Vendor Management Policy | How to vet third parties | Yes | 2-4 hours |
| Change Management Policy | How changes get approved | Yes | 2-4 hours |
| Acceptable Use Policy | Rules for employees | Yes | 2-4 hours |
| Data Retention Policy | How long to keep data | Yes | 2-4 hours |
| Privacy Policy | Public-facing privacy information | Yes | 2-4 hours |
Total client time: Approximately 30-40 hours over 4-6 weeks.
Note: Most of these policies are fill-in-the-blank using GRC tool templates.
Step 4: Employee Security Training (Month 3+)
What: Providing security awareness training to all staff.
Why: Auditors verify that employees understand and follow security rules.
How:
- GRC tools (Vanta/Drata) offer built-in training modules.
- Training typically takes around 30 minutes per employee.
- Track completion (the auditor will review this).
Client action:
- Enroll all employees in training.
- Ensure training is completed.
- Maintain records (your GRC tool will handle this).
Step 5: Collaboration with the Auditor (Months 5-12)
What: Responding to auditor questions and providing evidence.
Why: The auditor needs proof that your controls are working effectively.
Typical auditor requests:
| Request | Who Provides | Example |
|---|---|---|
| "Show me access control logs" | Developer | Screenshot of audit logs |
| "Show me your security policy" | Client | PDF from GRC tool |
| "Show me employee training records" | Client | Report from GRC tool |
| "Show me your incident response plan" | Client | PDF from GRC tool |
| "Show me encryption configuration" | Developer | AWS console screenshot |
| "Show me user access reviews" | Client + Dev | Access review report |
Client action: Respond to auditor requests promptly (usually within 1-2 days).
Client Task Checklist: A Practical Guide
This checklist provides a practical overview of the client's responsibilities throughout the SOC2 compliance process.
Week 1
- [ ] Apply for AWS GovCloud account
- [ ] Start FMCSA Clearinghouse registration
- [ ] Schedule Vanta and Drata demos
Weeks 2-3
- [ ] Choose and sign up for a GRC tool (Vanta/Drata)
- [ ] Request quotes from 2-3 SOC2 auditors
- [ ] Contact TazWorks for an API agreement
- [ ] Contact CRL/FormFox for an API agreement
Weeks 4-6
- [ ] Select a SOC2 auditor and sign an engagement letter
- [ ] Begin writing policies using GRC templates
- [ ] Complete FMCSA registration
Weeks 6-12
- [ ] Complete all 10 security policies
- [ ] Schedule a penetration test (Month 5-6)
- [ ] Enroll employees in security training
Months 5-6
- [ ] Complete a readiness assessment with the auditor
- [ ] Fix any gaps identified
- [ ] Begin the observation period
Months 6-12
- [ ] Respond to auditor requests
- [ ] Collect evidence monthly
- [ ] Complete annual training
Month 12
- [ ] Final audit
- [ ] Receive the SOC2 Type II report
Translating Compliance into Code: A Developer's Guide
The development team plays a critical role in implementing the technical controls required for SOC2 and FedRAMP compliance. This section outlines the specific code requirements for various compliance controls.
Control 1: Authentication
Auditor asks: "How do users prove who they are?"
WHAT TO BUILD:
├── AWS Cognito integration
│ ├── User pool with password policy (12+ chars, complexity)
│ ├── MFA required (TOTP authenticator app)
│ └── Session management (tokens expire)
│
├── Django JWT middleware
│ ├── Validate Cognito tokens on every request
│ ├── Extract user identity from token
│ └── Reject invalid/expired tokens with 401
│
└── Next.js frontend
├── Login page with Cognito
├── MFA challenge flow
└── Secure token storage
EVIDENCE FOR AUDITOR:
• Screenshot of Cognito MFA settings
• Code showing JWT validation
• Login flow demonstration
Control 2: Authorization (RBAC)
Auditor asks: "How do you control who can do what?"
WHAT TO BUILD:
├── Permission model
│ ├── 42 granular permissions (employee:read, employee:write, etc.)
│ └── Stored in database
│
├── Role model
│ ├── 7 roles: SUPER_ADMIN, EXECUTIVE, COMPLIANCE_OFFICER, etc.
│ ├── Each role has specific permissions
│ └── Users assigned to roles
│
├── @require_permission decorator
│ ├── Checks if user has permission before action
│ ├── Returns 403 Forbidden if not
│ └── Logs denial to audit log
│
└── Frontend permission checks
├── Hide buttons user can't use
└── Disable actions user can't perform
EVIDENCE FOR AUDITOR:
• Permission matrix document
• Screenshot showing different role views
• Audit log showing permission denial
Code Example:
# Django decorator
@require_permission('employee:read')
def get_employee(request, employee_id):
# Only runs if user has employee:read permission
employee = Employee.objects.get(id=employee_id)
return JsonResponse(employee.to_dict())
Control 3: Tenant Isolation
Auditor asks: "Can Customer A see Customer B's data?"
WHAT TO BUILD:
├── Tenant ID on every record
│ └── Every database row has tenant_id column
│
├── Automatic tenant filtering
│ ├── TenantManager that auto-filters queries
│ └── User can ONLY see their tenant's data
│
├── PostgreSQL Row-Level Security (defense in depth)
│ └── Database-level enforcement
│
└── Tests proving isolation
└── Test that User A cannot query User B data
EVIDENCE FOR AUDITOR:
• Database schema showing tenant_id
• Code showing TenantManager
• Test results proving isolation
Code Example:
# Every query automatically filtered by tenant
class TenantManager(models.Manager):
def get_queryset(self):
tenant_id = get_current_tenant_id()
return super().get_queryset().filter(tenant_id=tenant_id)
class Employee(models.Model):
tenant_id = models.UUIDField()
name = models.CharField(max_length=100)
objects = TenantManager() # Auto-filters!
Control 4: Audit Logging
Auditor asks: "Can you show me what User X did last Tuesday?"
WHAT TO BUILD:
├── AuditLog model
│ ├── WHO: user_id, user_email, tenant_id
│ ├── WHAT: action (CREATE/READ/UPDATE/DELETE), resource_type, resource_id
│ ├── WHEN: timestamp
│ ├── DETAILS: changes (before/after for updates)
│ └── CONTEXT: ip_address, user_agent
│
├── Immutability
│ ├── Database trigger prevents UPDATE/DELETE on audit table
│ └── Logs can only be appended, never modified
│
├── Automatic logging middleware
│ └── Every API request automatically logged
│
└── Query interface
└── Ability to search logs by user, date, action, resource
EVIDENCE FOR AUDITOR:
• Sample audit log entries
• Proof that logs cannot be modified
• Query showing "all actions by user X on date Y"
Code Example:
class AuditLog(models.Model):
id = models.UUIDField(primary_key=True, default=uuid.uuid4)
timestamp = models.DateTimeField(auto_now_add=True)
# WHO
tenant_id = models.UUIDField()
user_id = models.UUIDField()
user_email = models.EmailField()
# WHAT
action = models.CharField(max_length=20) # CREATE, READ, UPDATE, DELETE
resource_type = models.CharField(max_length=100) # Employee, DrugTest, etc.
resource_id = models.UUIDField(null=True)
# DETAILS
changes = models.JSONField(null=True) # {"before": {...}, "after": {...}}
# CONTEXT
ip_address = models.GenericIPAddressField()
user_agent = models.TextField()
class Meta:
# CRITICAL: No one can modify audit logs
managed = True # Django creates table
# Add database trigger to prevent UPDATE/DELETE
Control 5: Encryption
Auditor asks: "How is sensitive data protected?"
WHAT TO BUILD:
├── Encryption at rest
│ ├── RDS encryption enabled (AWS manages)
│ ├── S3 bucket encryption (SSE-KMS)
│ └── Field-level encryption for PII (SSN, DOB)
│
├── Encryption in transit
│ ├── TLS 1.2+ on all connections
│ ├── HTTPS only (no HTTP)
│ └── Database connections use SSL
│
├── Key management
│ ├── AWS KMS for encryption keys
│ ├── Keys stored in Secrets Manager
│ └── Annual key rotation
│
└── PII field encryption
├── Custom EncryptedCharField
└── SSN, DOB encrypted before storage
EVIDENCE FOR AUDITOR:
• AWS console showing RDS encryption
• Database query showing encrypted SSN (gibberish, not readable)
• TLS certificate configuration
Code Example:
# Field-level encryption for PII
class EncryptedCharField(models.CharField):
def get_prep_value(self, value):
if value:
# Encrypt before saving to database
return encrypt(value)
return value
def from_db_value(self, value, expression, connection):
if value:
# Decrypt when reading from database
return decrypt(value)
return value
class Employee(models.Model):
name = models.CharField(max_length=100) # Not encrypted
ssn = EncryptedCharField(max_length=500) # Encrypted!
dob = EncryptedCharField(max_length=500) # Encrypted!
Control 6: Monitoring & Alerting
Auditor asks: "How do you detect security issues?"
WHAT TO BUILD:
├── AWS CloudTrail
│ └── Logs all AWS API calls
│
├── AWS GuardDuty
│ └── AI-based threat detection
│
├── AWS CloudWatch
│ ├── Log aggregation
│ ├── Metric dashboards
│ └── Alarms for anomalies
│
├── Security alerts
│ ├── Failed login attempts (>5 in 5 minutes)
│ ├── Unauthorized access attempts
│ ├── Unusual data access patterns
│ └── System errors
│
└── Notification channels
├── Email alerts
├── Slack integration (optional)
└── PagerDuty for critical (optional)
EVIDENCE FOR AUDITOR:
• CloudWatch dashboard screenshot
• Sample alert for failed logins
• GuardDuty findings (hopefully empty!)
Control 7: Backup & Recovery
Auditor asks: "Can you recover if something goes wrong?"
WHAT TO BUILD:
├── Database backups
│ ├── RDS automated daily backups
│ ├── 35-day retention
│ └── Point-in-time recovery enabled
│
├── Document backups
│ ├── S3 versioning enabled
│ └── Cross-region replication (optional)
│
├── Infrastructure as Code
│ ├── Terraform for all resources
│ └── Can rebuild entire infrastructure
│
└── Tested recovery
└── Annual disaster recovery test
EVIDENCE FOR AUDITOR:
• RDS backup configuration screenshot
• S3 versioning configuration
• Documentation of DR test results
Developer Task Checklist with Code Requirements
This checklist provides a detailed breakdown of the developer tasks, categorized by phase, with specific code requirements for SOC2 compliance.
Phase 1: Infrastructure (Weeks 1-3)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] Terraform VPC | Network Security | VPC with public/private subnets |
| [ ] Terraform RDS | Encryption, Backup | Encrypted PostgreSQL with backups |
| [ ] Terraform Cognito | Authentication | User pool with MFA required |
| [ ] Terraform S3 | Encryption | Encrypted buckets for documents |
| [ ] Terraform KMS | Encryption | Keys for data encryption |
| [ ] Terraform CloudTrail | Audit Logging | API call logging |
| [ ] Terraform CloudWatch | Monitoring | Dashboards and alarms |
Phase 2: Authentication (Weeks 3-5)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] Django JWT middleware | Authentication | Token validation on every request |
| [ ] Cognito user class | Authentication | User identity from token |
| [ ] Next.js Amplify auth | Authentication | Login/logout/MFA flow |
| [ ] Session management | Authentication | Token refresh, expiration |
Phase 3: Audit Logging (Weeks 5-7)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] AuditLog model | Audit Logging | Immutable log table |
| [ ] Audit middleware | Audit Logging | Auto-log every request |
| [ ] Immutability trigger | Audit Logging | Prevent log modification |
| [ ] Audit query API | Audit Logging | Search logs by user/date/action |
Phase 4: RBAC & Tenancy (Weeks 7-9)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] Permission model | Authorization | 42 permissions in database |
| [ ] Role model | Authorization | 7 roles with permission mappings |
| [ ] @require_permission | Authorization | Decorator that checks permissions |
| [ ] TenantManager | Tenant Isolation | Auto-filter by tenant_id |
| [ ] Row-Level Security | Tenant Isolation | PostgreSQL RLS policies |
| [ ] Isolation tests | Tenant Isolation | Proof that isolation works |
Phase 5: Encryption (Weeks 9-10)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] EncryptedCharField | Encryption | Field-level PII encryption |
| [ ] Secrets Manager setup | Encryption | Secure key storage |
| [ ] S3 encryption verify | Encryption | SSE-KMS on all buckets |
| [ ] TLS verification | Encryption | All connections use TLS |
Phase 6: Core APIs (Weeks 10-13)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] Employee CRUD | All controls | API with auth, RBAC, audit, encryption |
| [ ] DrugTest API | All controls | Full compliance integration |
| [ ] BackgroundCheck API | All controls | Full compliance integration |
| [ ] DOT API | All controls | FMCSA integration |
| [ ] Health API | All controls | With PHI encryption |
| [ ] Training API | All controls | Certificate tracking |
Phase 7: Vendor Integrations (Weeks 13-16)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] FMCSA adapter | Business Logic | Clearinghouse queries |
| [ ] TazWorks adapter | Business Logic | Background check flow |
| [ ] CRL adapter | Business Logic | Drug test flow |
| [ ] Webhook receivers | Audit Logging | Logged vendor callbacks |
Phase 8: Security Hardening (Weeks 16-18)
| Task | SOC2 Control | Deliverable |
|---|---|---|
| [ ] WAF configuration | Network Security | OWASP rules active |
| [ ] GuardDuty enable | Monitoring | Threat detection active |
| [ ] Inspector enable | Monitoring | Vulnerability scanning |
| [ ] Security Hub | Monitoring | Centralized security view |
| [ ] CloudWatch alarms | Monitoring | Alerts for security events |
| [ ] Incident runbooks | Incident Response | Documented procedures |
This comprehensive guide provides a solid foundation for understanding and implementing SOC2 and FedRAMP compliance. Remember, security is a continuous process, and maintaining compliance requires ongoing effort and vigilance.
For further information, you can refer to the official **AICPA SOC 2 website
