How to Achieve SOC2 Compliance with OpenClaw

# In config/auth/rbac.yaml:
roles:
  admin:
    permissions: [read, write, delete, manage_users, manage_keys]
  power_user:
    permissions: [read, write, manage_own_keys]
  user:
    permissions: [read, write]
  viewer:
    permissions: [read]

users:
  alice@company.com:
    role: admin
  bob@company.com:
    role: power_user
  carlos@company.com:
    role: user

# Multi-factor authentication (MFA):
auth:
  mfa:
    required: true
    methods: [totp, webauthn]
    backup_codes: 10
    grace_period: 0

# Session management:
sessions:
  timeout: 1h
  idle_timeout: 30m
  max_concurrent: 3
  force_logout_on_password_change: true
  track_location: true

# In config/audit/logging.yaml:
audit_logging:
  enabled: true

  events_to_log:
    - user_login
    - user_logout
    - failed_login_attempts
    - password_change
    - mfa_enabled/disabled
    - role_change
    - api_key_created/revoked
    - data_access
    - permission_denied
    - configuration_change
    - incident_report

  log_format: json

  storage:
    provider: s3
    s3:
      bucket: company-audit-logs
      prefix: openclaw/
      region: us-east-1
      server_side_encryption: AES256

  retention:
    active_logs: 90d (hot storage)
    archived_logs: 7 years (cold storage, compliance requirement)

  immutability:
    enabled: true
    prevent_deletion: true
    prevent_modification: true

  integrity:
    hash_algorithm: sha256
    write_once: true

# Example audit log entry:
{
  "timestamp": "2026-02-11T14:35:22Z",
  "event_type": "API_KEY_REVOKED",
  "user_id": "alice@company.com",
  "target": "key_prod_abc123",
  "reason": "Key compromised",
  "result": "success",
  "ip_address": "203.0.113.45",
  "user_agent": "Mozilla/5.0...",
  "hash": "sha256:abc123..."
}

# In config/encryption/config.yaml:
encryption:
  in_transit:
    enabled: true
    protocol: TLS_1_3
    certificate_provider: letsencrypt
    auto_renewal: true

    cipher_suites:
      - TLS_AES_256_GCM_SHA384
      - TLS_CHACHA20_POLY1305_SHA256

  at_rest:
    enabled: true
    algorithm: AES_256_GCM

    database:
      encryption: true
      key_derivation: PBKDF2

    file_storage:
      encryption: true
      key_rotation_days: 90

  key_management:
    provider: aws_kms  # or HashiCorp Vault
    aws_kms:
      region: us-east-1
      key_alias: alias/openclaw-master
      key_rotation_enabled: true
      rotation_period_days: 365

    key_access:
      # Only encryption/decryption service can access keys
      restricted_to_role: encryption-service
      audit_all_access: true

# Enable HTTPS/TLS for all endpoints:
# In nginx.conf or application config:
# - Redirect HTTP to HTTPS
# - Set HSTS header (max-age=31536000; includeSubDomains)
# - Force TLS 1.3 minimum

# In config/incident/response-plan.yaml:
incident_response:
  # Incident classification:
  severity_levels:
    critical: Active data breach, system down, customer data exposed
    high: Failed security control, unauthorized access attempt
    medium: Configuration drift, missing patch, policy violation
    low: Audit finding, documentation gap

  # Response procedures:
  procedures:
    detection:
      - Monitor alerts from IDS, audit logs, security scanners
      - Investigate within 30 minutes of detection
      - Log incident with timestamp and initial findings

    containment:
      - Isolate affected systems if needed
      - Preserve evidence (logs, snapshots)
      - Notify incident response team

    eradication:
      - Root cause analysis
      - Apply patches or fixes
      - Verify remediation in staging first

    recovery:
      - Restore systems from backup if needed
      - Validate normal operation
      - Monitor for re-occurrence

    notification:
      - Notify affected customers (within 72 hours for breaches)
      - Document timeline and findings
      - Report to management and legal

  # Incident tracking:
  tracking:
    system: jira  # or ServiceNow
    retention: 7 years
    required_fields:
      - incident_id
      - discovery_date
      - severity
      - root_cause
      - remediation_steps
      - affected_systems/data
      - notification_status

# Test incident response quarterly:
# - Run tabletop exercises
# - Simulate data breach scenario
# - Test backup/recovery procedures
# - Document lessons learned

# In config/vendor/assessment.yaml:
vendor_assessment:
  # Vendors to assess:
  vendors:
    - name: Anthropic (Claude API)
      service: LLM inference
      sensitivity_level: high
      assessment_frequency: annual

    - name: AWS (S3 storage)
      service: Audit log storage
      sensitivity_level: critical
      assessment_frequency: annual

    - name: DataDog (monitoring)
      service: Security monitoring
      sensitivity_level: high
      assessment_frequency: annual

  # Assessment criteria:
  criteria:
    soc2_certification: required
    data_protection: required
    incident_response: required
    access_controls: required
    encryption: required
    audit_logging: required

  # Vendor contract requirements:
  contract:
    - DPA (Data Processing Agreement)
    - SLA (Service Level Agreement) with 99.5% uptime minimum
    - Incident notification (within 24 hours)
    - Right to audit
    - Data deletion upon termination
    - Encryption of customer data

  # Ongoing monitoring:
    - Review vendor security bulletins quarterly
    - Validate SOC2 certification remains current
    - Track vendor security incidents
    - Test vendor access controls annually

# Required SOC2 documentation:

# 1. Information Security Policy
# - Define security objectives
# - Assign responsibilities
# - Cover: access control, encryption, incident response, etc.

# 2. Access Control Policy
# - User provisioning/deprovisioning procedures
# - Password requirements (minimum 12 chars, complexity)
# - MFA requirements
# - Session timeout: 1 hour idle
# - Role definitions and permissions

# 3. Change Management Policy
# - All changes require approval (via GitHub PR reviews)
# - Test changes in staging before production
# - Document all changes in audit log
# - Emergency changes documented within 24 hours
# - Annual management review

# 4. Incident Response Plan
# - Detection, containment, eradication, recovery steps
# - Roles and responsibilities
# - Communication procedures
# - Test quarterly (document results)

# 5. Risk Assessment
# - Identify security risks annually
# - Evaluate likelihood and impact
# - Document mitigation strategies
# - Track remediation status

# 6. Data Classification & Handling
# - Public: Marketing materials, public docs
# - Confidential: Customer data, API keys
# - Restricted: Audit logs, security configs
# - Define retention and disposal procedures

# Store in config/policies/:
# - information-security-policy.md
# - access-control-policy.md
# - change-management-policy.md
# - incident-response-plan.md
# - risk-assessment.md
# - data-classification-policy.md

# Audit evidence checklist:

access_controls:
  - User access logs (last 2 years)
  - MFA enrollment proof
  - Role change history
  - Terminated user access removal evidence
  - Annual access review documentation

change_management:
  - Git commit history with PR reviews
  - Deployment logs with approvals
  - Testing evidence (CI/CD results)
  - Rollback procedures tested
  - Production change log (monthly review)

incident_response:
  - Incident log with all events from past 2 years
  - Root cause analyses
  - Remediation evidence
  - Customer notification proof
  - Quarterly tabletop test results

security_monitoring:
  - Vulnerability scan reports (monthly)
  - Patch management log
  - Security alert logs (sample 30 days)
  - Monitoring system validation
  - Configuration baseline vs current

backup_and_recovery:
  - Backup schedule and documentation
  - Backup encryption verification
  - Annual restore test results
  - Recovery time/data loss objectives
  - Disaster recovery plan

compliance_and_training:
  - Employee security training records (annual)
  - SOC2 policy acknowledgements
  - NDA signed agreements
  - Vendor security assessments
  - Annual risk assessment documentation

# Create audit package monthly:
cp -r audit-logs/ soc2-evidence/2026-02/
cp -r git-logs/ soc2-evidence/2026-02/
cp -r security-alerts/ soc2-evidence/2026-02/

# Prepare audit readiness report quarterly
audit_readiness_score = (evidenced_controls / total_controls) * 100