Security and compliance framework for SaaS and cloud service providers, covering security, availability, and confidentiality of AI systems.
Security: Protection against unauthorized access
Availability: System is available for operation as committed
Processing Integrity: System processing is complete, valid, accurate, timely
Confidentiality: Information designated as confidential is protected
Privacy: Personal information is collected, used, retained, disclosed per commitments
Continuous Monitoring and Alerting: Implement automated systems to continuously monitor AI service performance, security events, and anomalies with real-time alerting mechanisms for immediate incident response and documentation.
Vendor Risk Management Protocol: Establish documented processes for assessing, monitoring, and managing third-party AI vendors and subprocessors, ensuring their SOC 2 compliance aligns with organizational security standards.
Multi-factor authentication (MFA) for all AI system access. Role-based access control (RBAC). Quarterly access reviews with automated de-provisioning.
Version control for all AI models. Peer review for model updates. Automated testing before production deployment. Rollback capability within 15 minutes.
AES-256 encryption for training data at rest. TLS 1.3 for data in transit. Annual key rotation. Hardware security modules (HSM) for key storage.
Annual SOC 2 report review for all third-party AI vendors. Security questionnaires. Contractual security requirements. Vendor access monitoring.
24/7 automated monitoring of AI system performance, errors, and security events. PagerDuty escalation for critical alerts. Weekly on-call rotation.
Code review and approval
Automated security scanning (SAST/DAST)
Staging environment testing
Change approval by CAB
Gradual rollout with monitoring
Required Roles:
Narrative describing AI system boundaries, services provided, infrastructure, and security controls. Updated annually for SOC 2 audit.
Mapping of company controls to AICPA Trust Services Criteria (Common Criteria + category-specific). Documents control design and operating effectiveness.
Procedures for detecting, escalating, and remediating security incidents. Includes communication templates and post-incident review process.
AICPA TSC CC6.1
Logical and physical access controls restrict access to authorized users
MFA enforced for all users. Role-based access (RBAC) with least privilege. Quarterly access reviews. SSO via Okta/Auth0. Admin access requires approval.
AICPA TSC CC7.2
System monitoring detects and responds to system security breaches
SIEM (Datadog/Splunk) ingests logs from all AI systems. Automated alerting for anomalous behavior. 24/7 on-call rotation. Incident runbooks documented.
AICPA TSC CC8.1
Change management process includes authorization, testing, and approval
All AI model changes via GitHub PRs with required approvals. Automated testing in CI/CD. Staging environment validation. CAB approval for production deployments.
SOC 2 Type I tests control design at a point in time. Type II tests operating effectiveness over 6-12 months. Enterprise customers typically require Type II. For AI startups: get Type I first (faster, 2-3 months), then upgrade to Type II. Type II is the gold standard for SaaS/AI vendors.
All AI companies need Security (mandatory). Add: (1) Availability if you offer SLA commitments, (2) Confidentiality for enterprise data handling, (3) Processing Integrity for data pipelines and model accuracy, (4) Privacy for personal data. Most AI vendors pursue Security + Availability + Confidentiality.
Type I: $15K-30K (audit fees) + $10K-20K (tools/consulting). Type II: $25K-50K (audit) + $20K-40K (ongoing tools). Timeline: 3-4 months for Type I, 9-12 months for Type II. DIY reduces costs but extends timeline. Consider fractional compliance officers or platforms (Vanta, Drata) to reduce burden.
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