SOC 2 Trust Services Criteria
SOC 2 是最常见的 SaaS 保证框架。这些行关注代理治理记录能够实质支持审计的准则。
引用使用规范矩阵中的 Trust Services Criteria 格式。
已覆盖
9
部分覆盖
6
未覆盖
1
| 要求 | AF | 证据类型 | 状态 | 备注 |
|---|---|---|---|---|
# CC1.4 The entity demonstrates a commitment to attract, develop, and retain competent individuals in alignment with objectives. | AF-2, AF-7.5 | agent_owners.verification_status='verified' (proves the human owner was actively confirmed) | 部分覆盖 | Human-side competence is tenant HR. Agent-side qualification (validated model + skills + prompts) is tracked in AF-7.5. |
# CC1.5 The entity holds individuals accountable for their internal control responsibilities in pursuit of objectives. | AF-2, AF-7.6 | agent_owners row with role='primary' is the named-accountable record per agent | 部分覆盖 | Primary-owner accountability is in AF-2. Executive-sponsor accountability for high-risk agents is AF-7.6. |
# CC2.1 The entity obtains or generates and uses relevant, quality information to support the functioning of internal control. | AF-1 | agent_action_events ledger — append-only, slug-FK to canonical vocabulary, decision-bearing per ADR-044 | 已覆盖 | The ledger is the system of record for what agents actually did. Quality is enforced by FK integrity (vocabulary, agent identity) and trigger-enforced append-only. |
# CC3.4 The entity identifies and assesses changes that could significantly impact the system of internal control. | AF-3 | agent_charters.supersedesCharterId (version chain); agent_charters.reviewDueAt (next required review) | 已覆盖 | Every charter change creates a new row that points back to its predecessor. The hash + version chain is the change-impact record. |
# CC4.1 The entity selects, develops, and performs ongoing and/or separate evaluations to ascertain whether the components of internal control are present and functioning. | AF-1, AF-2 | Ledger queryability (per-agent, per-decision, per-time); agent_owners.verification_status row count by status (audit-visible signal) | 已覆盖 | Both ongoing (live ledger) and point-in-time (verification_status snapshot) evaluations are supported. |
# CC4.2 The entity evaluates and communicates internal control deficiencies in a timely manner. | AF-6 (detect), AF-7.7 (workflow) | agent_action_events.decision='blocked' rows are the deficiency signal | 部分覆盖 | Deficiency detection is automatic via AF-6. Deficiency communication + corrective action workflow is AF-7.7. |
# CC5.2 The entity also selects and develops general control activities over technology to support the achievement of objectives. | AF-6, AF-1 | AF-6 preflight evaluator (control); agent_action_events.decision written back (record) | 已覆盖 | The preflight + ledger pair is the canonical AI-agent control activity. |
# CC7.1 The entity uses detection and monitoring procedures to identify (1) changes to configurations that result in the introduction of new vulnerabilities, and (2) susceptibilities to newly discovered vulnerabilities. | AF-1, AF-3 | agent_charters.supersedesCharterId chain (config-change record); agent_action_events (live monitoring) | 已覆盖 | Charter version chain detects intent changes; ledger detects behavioral changes. |
# CC7.2 The entity monitors system components and the operation of those components for anomalies that are indicative of malicious acts, natural disasters, and errors affecting the entity's ability to meet its objectives; anomalies are analyzed. | AF-1, AF-6 | agent_action_events.decision='blocked' (refused action); decision='escalated' (suspicious action awaiting human review) | 已覆盖 | ADR-044 cites this requirement directly. The decision column is the anomaly signal; ledger queries are the analysis surface. |
# CC7.3 The entity evaluates security events to determine whether they could or have resulted in a failure of the entity to meet its objectives (security incidents) and, if so, takes actions to prevent or address such failures. | AF-7.3 | — | 部分覆盖 | AF-1 ledger captures the events. Security-event evaluation workflow (incident triage, link to specific ledger entries) is AF-7.3. |
# CC7.4 The entity responds to identified security incidents by executing a defined incident response program to understand, contain, remediate, and communicate security incidents. | AF-7.3, AF-7.7 | — | 部分覆盖 | Incident response program is AF-7.3 + AF-7.7. AF-1/AF-6 supply the inputs. |
# CC8.1 The entity authorizes, designs, develops or acquires, configures, documents, tests, approves, and implements changes to infrastructure, data, software, and procedures to meet its objectives. | AF-3 | agent_charters.signedByOwnerId + signedByOwnerAt (authorization); supersedesCharterId chain (history); charterHash (integrity); status lifecycle (draft → signed → active → retired) | 已覆盖 | The charter lifecycle is the per-agent change-management process. Each transition is timestamped and authorized; the hash provides integrity. |
# CC9.1 The entity identifies, selects, and develops risk mitigation activities for risks arising from potential business disruptions. | AF-3, AF-4, AF-6 | Charter mayNotActions + approvalRequirements; statement bindings (AF-4) controlling acceptable behaviors; AF-6 enforcement | 已覆盖 | The three together — declared prohibitions, bound governance statements, runtime enforcement — are the mitigation stack. |
# A1.2 (Availability) The entity authorizes, designs, develops or acquires, implements, operates, approves, maintains, and monitors environmental protections, software, data backup processes, and recovery infrastructure to meet its objectives. | AF-7.1 (controlled-disable dimension only) | — | 部分覆盖 | The kill-switch (AF-7.1) is the controlled-disable side of availability. System-level availability (uptime, ledger-write SLA, recovery infrastructure) is tenant-wide infra, addressed elsewhere in the Dictiva observability stack. Not tracking in AF-7. |
# PI1.4 (Processing Integrity) The entity implements policies and procedures to make available or deliver output completely, accurately, and timely in accordance with specifications to meet the entity's objectives. | AF-6 | AF-6 preflight enforcement; agent_action_events rows with decision='allowed' represent integrity-checked outputs | 已覆盖 | AF-6 is the integrity gate for agent-produced output. Charter mayNotActions declares what's out-of-spec; preflight enforces. |
# C-series and P-series (Confidentiality and Privacy) Encryption at rest/in transit, retention limits, DSAR processes, data classification, third-party data sharing controls. | None (tenant-wide) | — | 未覆盖 out of AF scope | These categories are tenant-wide infrastructure controls — not addressable at the AF layer. The agent_charters.dataAccess[] field exposes which data classes an agent reaches into so a customer's tenant-wide data-classification regime can pin the agent's exposure, but the controls themselves live elsewhere in the platform. Not tracking in AF-7. |
框架详情
公开缺口引用
每行的缺口标记链接到公开的 AF-7 父级史诗，而不是暴露内部子 issue 编号。