soc2-audit

SOC2 Security Audit

Performs a comprehensive SOC2 Type II readiness assessment across infrastructure, codebase, and operational controls. Produces a prioritized remediation checklist mapped to Trust Service Criteria.

When to Use

• Preparing for SOC2 audit (Vanta, Drata, Secureframe)
• Security review of infrastructure
• Compliance gap analysis
• After significant infrastructure changes
• Periodic security posture check

Audit Process

Phase 1: Infrastructure Scan

SSH into each server and check:

# For each server, collect:
hostname && uname -r
cat /etc/os-release | head -2

# 1. SSH hardening
grep -E "PasswordAuthentication|PermitRootLogin|AllowUsers" /etc/ssh/sshd_config /etc/ssh/sshd_config.d/* 2>/dev/null | grep -v "^#"

# 2. Firewall
ufw status verbose 2>/dev/null || iptables -L -n | head -20

# 3. Exposed ports (CRITICAL — Docker bypasses UFW)
ss -tlnp | grep "0.0.0.0"
docker ps --format '{{.Names}} {{.Ports}}'
iptables -L DOCKER-USER -n 2>/dev/null

# 4. File permissions on secrets
stat -c "%a %n" /opt/*/.env 2>/dev/null
ls -la /root/.ssh/authorized_keys

# 5. Privileged containers
docker inspect --format '{{.Name}} privileged={{.HostConfig.Privileged}}' $(docker ps -q) 2>/dev/null

# 6. Security tooling
systemctl status auditd fail2ban unattended-upgrades 2>/dev/null | grep -E "Active:|not found"
which aide trivy falco 2>/dev/null
docker ps --format '{{.Names}}' | grep -iE "falco|wazuh|ossec"

# 7. Pending updates
apt list --upgradable 2>/dev/null | grep -i security | head -5

# 8. Authorized keys audit
cat /root/.ssh/authorized_keys | awk '{print $NF}'

Phase 2: Codebase Scan

# 1. Hardcoded secrets (exclude tests, examples, env files)
grep -rn "password\|secret\|api_key" --include="*.ts" src/ apps/ | grep -v "test\|mock\|example\|\.env\|process\.env\|config\." | head -20

# 2. Shell injection — exec() with string interpolation
grep -rn 'exec(`\|exec("' --include="*.ts" apps/ | grep -v test | head -10
# Fix: use execFile() with argument arrays

# 3. Default root users
grep -rn "DEFAULT.*USER.*root\|user.*\"root\"" --include="*.ts" apps/*/src/config* | head -5

# 4. Empty auth key defaults
grep -rn "adminApiKey.*\"\"\\|apiKey.*||.*\"\"" --include="*.ts" apps/ | grep -v test | head -5
# CRITICAL: safeCompare("","") returns true — empty key = auth bypass

# 5. Credential leakage in logs
grep -rn "logger.*token\|logger.*key\|logger.*secret\|logger.*password" --include="*.ts" apps/ | grep -v test | head -10

# 6. Security headers
grep -rn "secureHeaders\|helmet\|HSTS\|Content-Security-Policy" --include="*.ts" apps/ | head -5

# 7. CORS config
grep -rn "cors\|CORS\|Access-Control" --include="*.ts" apps/*/src/ | grep -v test | head -5

# 8. Input validation
grep -rn "zod\|z\.object\|z\.string" --include="*.ts" apps/*/src/routes/ | head -5

# 9. Timing-safe comparison in auth
grep -rn "timingSafeEqual\|safeCompare\|constantTime" --include="*.ts" apps/ | head -5

# 10. Gitignore coverage
cat .gitignore | grep -E "\.env|\.key|\.pem|\.crt|credentials"

Phase 3: SOC2 Control Mapping

Rate each control as PASS, PARTIAL, or FAIL:

Control	Area	What to Check
CC6.1	Logical access	MFA, least privilege, key-only SSH, non-root users
CC6.2	Access provisioning	Access register, joiner/leaver process, quarterly reviews
CC6.3	Access authorization	CODEOWNERS, branch protection, separation of duties
CC6.6	Threat protection	Firewall, IDS/EDR, patching, EOL systems
CC6.7	Data transmission	mTLS, TLS everywhere, data classification, encryption at rest
CC6.8	Unauthorized software	Image scanning, signing, file integrity monitoring
CC7.1	Monitoring	Metrics, uptime monitoring, alerting, dashboards
CC7.2	Anomaly detection	SIEM/auditd, audit log separation, security event logging
CC7.3	Security event eval	Triage procedure, severity classification
CC7.4	Incident response	IR plan, roles, communication templates, tabletop exercises
CC8.1	Change management	PR reviews, CI gates, deployment approvals, change log
CC9.1	Risk mitigation	Risk register, quarterly reviews, acceptance criteria
A1.2	Recovery planning	DR plan, RTO/RPO, backup testing, failover procedures

Phase 4: Generate Remediation Checklist

Output a tiered checklist:

• T0 (Before audit): MFA, policies (IR, DR, Access, Change Mgmt), critical code fixes, .env permissions
• T1 (Within 2 weeks): Non-root users, CODEOWNERS, auditd, monitoring
• T2 (Within 30 days): Image scanning, audit log separation, data classification, backup verification
• T3 (Within 90 days): Risk register, FIM, tabletop exercises, advanced controls

Each item should include:

• SOC2 control reference
• Concrete remediation command or steps
• Evidence guidance (what to screenshot/save for Vanta)

Hard-Won Lessons

These are real production issues found during audits:

1. Docker bypasses UFW. Published container ports are reachable even with ufw deny. Use iptables -I DOCKER-USER rules or bind to 127.0.0.1:port:port.

2. exec() vs execFile(). exec() spawns a shell and enables injection. execFile() with argument arrays does not. Always check cache-worker, build scripts, anywhere shell commands are constructed.

3. safeCompare("","") returns true. If an auth key defaults to "", empty Authorization headers pass validation. Always validate keys are non-empty at startup.

4. Falco rule syntax changes between versions. The enabled: false override syntax from Falco <0.36 is deprecated in 0.39+. Use override: { enabled: replace } blocks.

5. aideinit takes 30-45 minutes per server. Plan accordingly when deploying AIDE across a fleet.

6. Run pnpm biome check --write before committing. Many repos have CI guardrails that reject unformatted code. Always check what linter/formatter the project uses and run it locally.

7. Branch off develop, not whatever's checked out. Always explicitly git checkout develop && git pull before creating fix branches.

8. Restic backup "encryption" means nothing with a default password. Grep for "default-restic-password" or similar fallbacks. Fail hard if backup password is unset.

9. Cloudflare Workers secrets are not in wrangler.toml. They're set via wrangler secret put. Check the Cloudflare dashboard for the actual values.

10. Product auth keys (orch_prod_...) require registration. The orchestrator must have the product in its store (via SEED_PRODUCTS env or admin API). A valid-looking key that isn't registered returns 401.

Output Format

Generate a markdown checklist with progress tracking:

### Progress
| Tier | Total | Done | Remaining |
|------|-------|------|-----------|
| T0   | N     | 0    | N         |
| T1   | N     | 0    | N         |
...

### T0 — Before Audit
- [ ] **Item** — Description. *Evidence: what to save.*

Policy Document Templates

When generating policy docs, use these structures:

• IR Plan: Severity levels (P0-P3) with SLAs, roles (IC/TL/CL), 6-phase process, breach notification (72hr GDPR)
• DR Plan: Service inventory with RTO/RPO, backup strategy, recovery procedures per scenario, quarterly test commitment
• Access Management: Least privilege, MFA required, request/approval workflow, quarterly reviews, joiner/leaver checklists
• Change Management: PR required, CODEOWNERS review, CI gates, staging-first, emergency change process with 24hr retro review
• Risk Register: Score = Likelihood(1-5) x Impact(1-5). >=15 requires active mitigation. Quarterly review cadence.