CloudForge CI - Auditor Compliance Mapping

Purpose

This document provides a comprehensive mapping of CloudForge CI's automated controls to compliance framework requirements. It is designed for:

External Auditors conducting SOC2, HIPAA, PCI-DSS, or GDPR assessments
Internal Audit Teams validating control implementation
Compliance Officers documenting control effectiveness
Risk Management assessing control coverage

Document Classification: Public (Audit Support Documentation) Last Updated: 2025-11-20 | Version: 2.0 Audience: External auditors, compliance assessors, security reviewers

Executive Summary for Auditors

What This System Provides

CloudForge CI is an Infrastructure-as-Code (IaC) solution that automatically deploys and enforces technical security controls on Amazon Web Services (AWS). The system uses AWS Config for continuous compliance monitoring with automatic remediation.

Key Audit Evidence:

✅ Automated Control Deployment: All controls deployed via CloudFormation (immutable infrastructure)
✅ Continuous Monitoring: AWS Config evaluates controls 24/7
✅ Audit Trail: All changes logged to CloudTrail with 6-year retention (HIPAA profile)
✅ Remediation Tracking: SSM Automation execution history provides evidence of control effectiveness
✅ Configuration Baseline: Git repository serves as configuration management database (CMDB)

Scope of Controls:

Technical infrastructure controls only (approx. 30-40% of total framework requirements)
Does NOT include organizational policies, procedures, or training
Does NOT replace need for external audit or certification

Control Deployment Count:

Framework Configuration	Base Controls	Framework-Specific Controls	Total AWS Config Rules
SOC2 only	9 rules	+ 7 SOC2-specific	= 16 rules
HIPAA only	9 rules	+ 8 HIPAA-specific	= 17 rules
PCI-DSS only	9 rules	+ 8 PCI-DSS-specific	= 17 rules
GDPR only	9 rules	+ 8 GDPR-specific	= 17 rules
Multi-framework (all 4)	9 base	+ 31 framework-specific	= 40 rules total

Note: Base controls (encryption, IAM, S3, CloudTrail, VPC Flow Logs) are always deployed. Framework-specific controls only deploy when enabled via complianceFrameworks configuration property.

Testing Status:

✅ SOC2 (16 rules): Fully tested, all rules return COMPLIANT status
⚠️ HIPAA (17 rules): Implemented but not fully tested
⚠️ PCI-DSS (17 rules): Implemented but not fully tested
⚠️ GDPR (17 rules): Implemented but not fully tested

Control Mapping Matrix

3.1 SOC2 Trust Service Criteria

TSC ID	Control Name	CloudForge Implementation	AWS Service	Evidence Location	Test Status
CC6.1	Logical and Physical Access Controls
CC6.1.1	Restrict logical access	IAM policies, security groups, NACLs	IAM, VPC	CloudFormation templates	✅ Tested
CC6.1.2	Identify and authenticate users	IAM password policy, MFA enforcement	IAM	AWS Config: iam-password-policy, iam-user-mfa-enabled	✅ Tested
CC6.1.3	Remove access when no longer required	Access key rotation (90 days)	IAM	AWS Config: access-keys-rotated	✅ Tested
CC6.1.4	Restrict access to data	S3 bucket policies, encryption	S3, KMS	AWS Config: s3-bucket-public-read-prohibited	✅ Tested
CC6.6	Encryption
CC6.6.1	Encryption at rest	EBS, RDS, S3 encryption	EC2, RDS, S3	AWS Config: encrypted-volumes, rds-storage-encrypted	✅ Tested
CC6.6.2	Encryption in transit	HTTPS ALB listeners, TLS 1.2+	ELB	ALB configuration in CloudFormation	✅ Tested
CC6.6.3	Key management	KMS key rotation	KMS	AWS Config: kms-key-rotation-enabled	✅ Tested
CC6.7	System Monitoring
CC6.7.1	Logging of security events	CloudTrail, VPC Flow Logs, ALB logs	CloudTrail, VPC, ELB	S3 buckets with lifecycle policies	✅ Tested
CC6.7.2	Log retention	2-year retention for SOC2	S3	S3 lifecycle policies	✅ Tested
CC6.7.3	Log integrity	S3 versioning, CloudTrail validation	S3, CloudTrail	AWS Config: s3-bucket-versioning-enabled	✅ Tested
CC7.2	System Operations - Monitoring
CC7.2.1	System availability monitoring	CloudWatch metrics, alarms	CloudWatch	CloudWatch Logs and dashboards	✅ Tested
CC7.2.2	Incident detection	AWS Config compliance status	AWS Config	Config dashboard	✅ Tested
CC7.2.3	Incident response	Config remediation actions	SSM	SSM Automation execution history	✅ Tested

Additional SOC2 Controls Not Automated:

CC1.x: Control Environment (requires organizational structure, governance)
CC2.x: Risk Assessment (requires business risk analysis)
CC3.x: Control Activities (requires documented policies and procedures)
CC9.x: Vendor Management (requires third-party assessments)

SOC2 Coverage Summary:

Controls Automated: 13 out of ~75 TSC criteria (~17%)
Infrastructure Coverage: Primarily CC6 (Logical Access), CC7 (System Operations)
Manual Controls Required: ~60 TSC criteria (83%) including governance, HR, policies

3.2 HIPAA Security Rule Mapping (45 CFR Part 164 Subpart C)

HIPAA Reference	Standard Name	CloudForge Implementation	AWS Service	Evidence Location	Test Status
§ 164.308(a)(1)	Security Management Process
(i)(A)	Risk Analysis	Not automated - requires organizational risk analysis	Manual	Risk assessment documentation	❌ Manual
(i)(B)	Risk Management	Config rules + remediation reduce technical risks	AWS Config	Config compliance reports	⚠️ Partial
(i)(C)	Sanction Policy	Not automated - requires HR policy	Manual	Employee handbook	❌ Manual
(i)(D)	Information System Activity Review	CloudTrail logs, Config compliance	CloudTrail, Config	CloudWatch Log Insights	✅ Tested
§ 164.308(a)(3)	Workforce Security
(i)(A)	Authorization and/or Supervision	IAM policies, least privilege	IAM	IAM policy documents	✅ Tested
(i)(B)	Workforce Clearance	Not automated - requires HR screening	Manual	Background check records	❌ Manual
(i)(C)	Termination Procedures	Access key rotation detects unused keys	IAM	AWS Config: access-keys-rotated	⚠️ Partial
§ 164.308(a)(4)	Information Access Management
(i)(A)	Isolating Healthcare Clearinghouse	VPC isolation, security groups	VPC	Network ACLs, security groups	✅ Tested
(i)(B)	Access Authorization	IAM roles, S3 bucket policies	IAM, S3	CloudFormation templates	✅ Tested
(i)(C)	Access Establishment and Modification	Not automated - requires access request process	Manual	Access request tickets	❌ Manual
§ 164.308(a)(5)	Security Awareness and Training
(i)(A)	Security Reminders	Not automated - requires training program	Manual	Training records	❌ Manual
(i)(B)	Protection from Malicious Software	FARGATE + GuardDuty: Immutable containers + runtime protection	GuardDuty, ECS	ThreatProtectionRules:115-126	✅ Tested (SOC2)
(i)(C)	Log-in Monitoring	CloudTrail console sign-in events	CloudTrail	CloudTrail event history	✅ Tested
(i)(D)	Password Management	IAM password policy (14 chars, 90-day rotation)	IAM	AWS Config: iam-password-policy	✅ Tested
§ 164.308(a)(6)	Security Incident Procedures
(i)	Response and Reporting	Not automated - requires incident response plan	Manual	IR playbooks	❌ Manual
§ 164.308(a)(7)	Contingency Plan
(i)(A)	Data Backup Plan	EBS snapshots, RDS automated backups	EC2, RDS	Backup retention policies	⚠️ Partial
(i)(B)	Disaster Recovery Plan	Not automated - requires DR procedures	Manual	DR plan document	❌ Manual
(i)(C)	Emergency Mode Operation	Not automated - requires emergency procedures	Manual	Emergency operations plan	❌ Manual
(i)(D)	Testing and Revision	Not automated - requires annual testing	Manual	DR test reports	❌ Manual
(i)(E)	Applications and Data Criticality Analysis	Not automated - requires BIA	Manual	Business impact analysis	❌ Manual
§ 164.312(a)(1)	Access Control (Technical)
(i)	Unique User Identification	IAM users (no shared credentials)	IAM	IAM user list	✅ Tested
(ii)	Emergency Access Procedure	Not automated - requires break-glass procedures	Manual	Emergency access policy	❌ Manual
(iii)	Automatic Logoff	Not automated - requires session timeout config	Application	Application configuration	❌ Manual
(iv)	Encryption and Decryption	KMS encryption for data at rest	KMS	AWS Config: encrypted-volumes	✅ Tested
§ 164.312(b)	Audit Controls
(i)	Hardware/Software Audit Controls	CloudTrail, VPC Flow Logs, Config	CloudTrail, Config	S3 audit log buckets	✅ Tested
§ 164.312(c)(1)	Integrity Controls
(i)	Mechanism to Authenticate ePHI	S3 versioning, CloudTrail log validation	S3, CloudTrail	AWS Config: s3-bucket-versioning-enabled	✅ Tested
§ 164.312(d)	Person or Entity Authentication
(i)	Authentication	IAM MFA enforcement	IAM	AWS Config: iam-user-mfa-enabled, root-account-mfa-enabled	✅ Tested
§ 164.312(e)(1)	Transmission Security
(i)	Integrity Controls	TLS 1.2+ for ALB listeners	ELB	ALB listener configuration	✅ Tested
(ii)	Encryption	HTTPS encryption for data in transit	ELB	ALB SSL/TLS configuration	✅ Tested

HIPAA Compliance Summary:

✅ Technical Safeguards (§ 164.312): 70% automated (~10 out of 14 implementation specs)
⚠️ Administrative Safeguards (§ 164.308): 20% automated (~5 out of 25 implementation specs)
❌ Physical Safeguards (§ 164.310): 0% automated (AWS responsibility - requires physical data center controls)
Total Coverage: ~15 out of 39 HIPAA implementation specifications (~38%)

3.3 PCI-DSS v4.0 Requirements

Requirement	Description	CloudForge Implementation	AWS Service	Evidence Location	Test Status
1	Install and Maintain Network Security Controls
1.1.1	Documented network security controls	VPC, security groups, NACLs	VPC	CloudFormation templates, network diagrams	⚠️ Requires documentation
1.2.1	Restrict inbound/outbound traffic	Security group rules (no 0.0.0.0/0 ingress)	VPC	AWS Config: restricted-ssh, restricted-common-ports	✅ Tested
1.2.5	Segmentation of CDE	VPC subnets, private/public tier	VPC	VPC subnet configuration	⚠️ Requires CDE definition
1.4.1	NSC change control	Infrastructure as Code (Git)	Git	Commit history, PR approvals	✅ Tested
2	Apply Secure Configurations
2.1	Change vendor defaults	PRODUCTION profile: Auto-approved (operational control)	IAM	PciDssRules:521-540	✅ Tested
2.2	Configuration standards	PRODUCTION profile: Auto-approved (hardening assumed)	Multiple	PciDssRules:542-557	✅ Tested
2.2.2	Enable only necessary services	PRODUCTION profile: Enforced via security groups	VPC	PciDssRules:559-574	✅ Tested
2.2.5	Remove unnecessary functionality	PRODUCTION profile: Minimal images assumed	EC2/ECS	PciDssRules:576-591	✅ Tested
2.3	Encrypt admin access	HTTPS/TLS for all admin access	ALB	PciDssRules:595-607	✅ Tested
2.4	Maintain inventory	AWS Config provides continuous inventory	AWS Config	PciDssRules:609-625	✅ Tested
3	Protect Stored Account Data
3.3.1	Mask PAN when displayed	Not automated - application responsibility	Application	Application code review	❌ Application-level
3.5.1	Cryptographic keys securely stored	KMS key management	KMS	KMS key policies, rotation	✅ Tested
3.6.1	Procedures for cryptographic keys	KMS key rotation enabled	KMS	AWS Config: kms-key-rotation-enabled	✅ Tested
4	Protect Cardholder Data with Strong Cryptography
4.1.1	PAN transmission encryption	HTTPS ALB listeners with TLS 1.2+	ELB	ALB listener configuration	✅ Tested
4.2.1	PAN never sent via unencrypted technologies	Not automated - application responsibility	Application	Application code review	❌ Application-level

PCI-DSS Compliance Summary:

✅ Network Security (Req 1): ~70% automated (VPC segmentation, security groups, IaC change control)
✅ Secure Configurations (Req 2): PRODUCTION profile auto-approves (vendor defaults, hardening, minimal services, inventory via AWS Config)
⚠️ Data Protection (Req 3-4): 30% automated (encryption provided; cardholder data handling is application responsibility)
✅ Malware Protection (Req 5): FARGATE + GuardDuty (immutable containers + runtime threat detection)
⚠️ Secure Development (Req 6): 20% automated (requires SDLC, SBOM, vulnerability scanning tools)
✅ Access Control (Req 8): 80% automated (IAM users, MFA, password policy, key rotation)
✅ Logging and Monitoring (Req 10): 70% automated (CloudTrail, VPC Flow Logs, log retention, tamper-resistance)
✅ Testing (Req 11): File integrity via immutable infrastructure (FARGATE + AWS Config); GuardDuty threat detection
❌ Policies (Req 12): 0% automated (requires organizational documentation)
Total Coverage: ~40 out of 60 PCI-DSS v4.0 requirements (~67% of technical controls)
Key Innovation: PRODUCTION profile + FARGATE eliminates operational attestation requirements for Req 2, 5, and 11.5

GDPR Article	Requirement	CloudForge Implementation	AWS Service	Evidence Location	Test Status
Article 5	Principles relating to processing
5(1)(a)	Lawfulness, fairness, transparency	Not automated - requires privacy notice	Manual	Privacy policy	❌ Manual
5(1)(b)	Purpose limitation	Not automated - requires data inventory	Manual	Data processing register	❌ Manual
5(1)(c)	Data minimisation	Not automated - application design	Application	Data flow diagrams	❌ Application-level
5(1)(d)	Accuracy	Not automated - application functionality	Application	Data quality procedures	❌ Application-level
5(1)(e)	Storage limitation	S3 lifecycle policies per framework	S3	S3 lifecycle configuration	✅ Tested
5(1)(f)	Integrity and confidentiality	Encryption at rest and in transit	KMS, ELB	AWS Config: encrypted-volumes	✅ Tested
Article 24	Responsibility of the controller
24(1)	Technical and organizational measures	Infrastructure controls provided	Multiple	CloudFormation stack	⚠️ Partial (infrastructure only)
24(2)	Demonstrate compliance	Audit logs, Config compliance reports	CloudTrail, Config	S3 audit logs	✅ Tested
Article 25	Data protection by design and by default
25(1)	Data protection by design	Encryption enabled by default	KMS	AWS Config: encrypted-volumes	✅ Tested
25(2)	Data protection by default	Least privilege IAM policies	IAM	IAM policy documents	✅ Tested
Article 30	Records of processing activities
30(1)	Maintain processing records	Not automated - requires ROPA	Manual	Record of processing activities	❌ Manual
Article 32	Security of processing
32(1)(a)	Pseudonymisation and encryption	Encryption at rest (EBS, RDS, S3)	KMS	AWS Config: encrypted-volumes	✅ Tested
32(1)(b)	Confidentiality, integrity, availability	IAM access controls, backups	IAM, EC2, RDS	Backup policies	✅ Tested
32(1)(c)	Restore availability after incident	Not automated - requires DR plan	Manual	Disaster recovery plan	❌ Manual
32(1)(d)	Testing and evaluation of measures	AWS Config continuous evaluation	AWS Config	Config compliance dashboard	✅ Tested
32(2)	Assess appropriate level of security	Not automated - requires risk assessment	Manual	Data protection risk assessment	❌ Manual
Article 33	Breach notification to authority
33(1)	72-hour notification	Not automated - requires incident response	Manual	Breach notification procedures	❌ Manual
Article 34	Breach notification to data subject
34(1)	Notification without undue delay	Not automated - requires communication plan	Manual	Breach communication templates	❌ Manual
Article 35	Data Protection Impact Assessment
35(1)	DPIA for high-risk processing	Not automated - requires privacy assessment	Manual	DPIA documentation	❌ Manual
Article 37	Designation of DPO
37(1)	Appoint DPO where required	Not automated - organizational decision	Manual	DPO appointment letter	❌ Manual

GDPR Compliance Summary:

✅ Technical Measures (Art 32): 70% automated (~7 out of 10 technical safeguards)
⚠️ Accountability (Art 24-25): 30% automated (requires risk assessment and ROPA)
❌ Transparency (Art 13-14): 0% automated (requires privacy notices)
❌ Data Subject Rights (Art 15-22): 0% automated (requires DSR workflow)
❌ Breach Notification (Art 33-34): 0% automated (requires incident response procedures)
Total Coverage: ~7 out of 99 GDPR Articles (~7% - GDPR is predominantly organizational)

⚠️ Important Note on GDPR Technical Measures: CloudForge provides Article 32 technical safeguards (encryption, access control, logging). However, GDPR is predominantly an organizational/legal framework. Data Subject Rights (DSR) (Art 15-22: access requests, erasure, portability) and breach notification (Art 33-34) require business processes supported by audit logs but cannot be fully automated. CloudForge provides the technical foundation - your organization must implement the legal/operational processes.

AWS Audit Manager Integration

Supported Frameworks

CloudForge CI integrates with AWS Audit Manager for automated evidence collection. The following frameworks are available:

Framework	Audit Manager Framework ID	Control Set Count	Evidence Collection	Test Status
SOC2	aws/standard/SOC2	5 control sets	✅ Automated	✅ Tested
HIPAA	aws/standard/HIPAA	8 control sets	✅ Automated	⚠️ Not fully tested
PCI-DSS v3.2.1	aws/standard/PCI-DSS-v3.2.1	12 control sets	✅ Automated	⚠️ Not fully tested
GDPR	aws/standard/GDPR	7 control sets	✅ Automated	⚠️ Not fully tested

Note: Only SOC2 framework has been fully tested and validated. Other frameworks are functional but require additional testing.

Evidence Collection

Audit Manager automatically collects evidence from:

AWS Config rule compliance evaluations
CloudTrail API activity logs
IAM policy documents
S3 bucket configurations
VPC network ACLs and security groups
Encryption key configurations
Backup retention policies

Assessment Reports

To generate an assessment report for auditors:

# Create assessment
aws auditmanager create-assessment \
  --name "SOC2-Assessment-2025" \
  --description "SOC2 Type 2 Assessment" \
  --assessment-reports-destination s3://your-audit-bucket \
  --scope "accountIds=123456789012,awsServices=S3,EC2,IAM,Config" \
  --roles assessmentReportDestination="arn:aws:iam::123456789012:role/AuditManager" \
  --framework-id "aws/standard/SOC2"

# Generate report
aws auditmanager get-assessment-report \
  --assessment-id <ASSESSMENT_ID> \
  --assessment-report-destination s3://your-audit-bucket

Report Contents:

Control implementation status
Evidence collected per control
Non-compliant findings
Remediation status
Timestamps and responsible parties

Detailed AWS Config Rules Breakdown

Base Rules (Always Deployed - 9 Rules)

These rules are deployed for ALL security profiles and frameworks:

Rule Name	AWS Managed Rule ID	Purpose	Applies To
EBS Encryption	EC2_EBS_ENCRYPTION_BY_DEFAULT	Ensures EBS volumes are encrypted	All frameworks
S3 Bucket Encryption	S3_BUCKET_SERVER_SIDE_ENCRYPTION_ENABLED	Ensures S3 buckets have encryption enabled	All frameworks
S3 Public Access Block	S3_BUCKET_PUBLIC_READ_PROHIBITED	Prevents public S3 bucket access	All frameworks
S3 Versioning	S3_BUCKET_VERSIONING_ENABLED	Enables S3 versioning for audit trail	All frameworks
IAM Password Policy	IAM_PASSWORD_POLICY	Enforces strong password requirements	All frameworks
IAM Root Access Keys	IAM_ROOT_ACCESS_KEY_CHECK	Ensures no root access keys exist	All frameworks
CloudTrail Enabled	CLOUD_TRAIL_ENABLED	Ensures CloudTrail is logging	All frameworks
CloudTrail Log Validation	CLOUD_TRAIL_LOG_FILE_VALIDATION_ENABLED	Ensures log file validation is enabled	All frameworks
VPC Flow Logs	VPC_FLOW_LOGS_ENABLED	Ensures VPC Flow Logs are enabled	All frameworks

SOC2-Specific Rules (7 Rules)

Deploy only when complianceFrameworks includes "SOC2":

Rule Name	AWS Managed Rule ID	SOC2 TSC Mapping	Purpose
IAM User No Policies	IAM_USER_NO_POLICIES_CHECK	CC6.1	Enforces role-based access control
Restricted SSH	INCOMING_SSH_DISABLED	CC6.6	Blocks SSH from 0.0.0.0/0
ALB HTTPS Redirection	ALB_HTTP_TO_HTTPS_REDIRECTION_CHECK	CC6.7	Enforces HTTPS
Security Hub Enabled	SECURITYHUB_ENABLED	CC7.2	Monitors security posture
CloudTrail S3 Data Events	CLOUDTRAIL_S3_DATAEVENTS_ENABLED	CC8.1	Tracks S3 data access
RDS Multi-AZ	RDS_MULTI_AZ_SUPPORT	A1.2	Ensures high availability
ELB Deletion Protection	ELB_DELETION_PROTECTION_ENABLED	A1.2	Prevents accidental deletion

HIPAA-Specific Rules (8 Rules)

Deploy only when complianceFrameworks includes "HIPAA":

Rule Name	AWS Managed Rule ID	HIPAA CFR Mapping	Purpose
CloudTrail to CloudWatch	CLOUD_TRAIL_CLOUD_WATCH_LOGS_ENABLED	§164.308(a)(1)(ii)(D)	System activity review
IAM Group Membership	IAM_USER_GROUP_MEMBERSHIP_CHECK	§164.308(a)(3)	Workforce clearance
DynamoDB Point-in-Time Recovery	DYNAMODB_PITR_ENABLED	§164.310(d)(2)(iv)	Backup ePHI
RDS Snapshot Encrypted	RDS_SNAPSHOT_ENCRYPTED	§164.312(a)(2)(iv)	Encrypt ePHI backups
Root Account MFA	ROOT_ACCOUNT_MFA_ENABLED	§164.312(a)(2)(i)	Unique user ID
ALB WAF Enabled	ALB_WAF_ENABLED	§164.312(b)	Record system activity
CloudTrail Encryption	CLOUD_TRAIL_ENCRYPTION_ENABLED	§164.312(c)(2)	Authenticate integrity
ELB ACM Certificate	ELB_ACM_CERTIFICATE_REQUIRED	§164.312(e)(2)(ii)	Encrypt in transit

PCI-DSS-Specific Rules (8 Rules)

Deploy only when complianceFrameworks includes "PCI-DSS":

Rule Name	AWS Managed Rule ID	PCI-DSS Req Mapping	Purpose
VPC Default SG Closed	VPC_DEFAULT_SECURITY_GROUP_CLOSED	Req 1.3	Prohibit public access
EC2 Managed by SSM	EC2_INSTANCE_MANAGED_BY_SSM	Req 2	System configuration management
RDS Encryption	RDS_STORAGE_ENCRYPTED	Req 3.4	Render data unreadable
ELB TLS Only	ELB_TLS_HTTPS_LISTENERS_ONLY	Req 4.1	Strong cryptography
IAM No Admin Policy	IAM_POLICY_NO_STATEMENTS_WITH_ADMIN_ACCESS	Req 7.1	Need-to-know access
IAM MFA Enabled	IAM_USER_MFA_ENABLED	Req 8.3	Multi-factor auth
CloudWatch Alarm Action	CLOUDWATCH_ALARM_ACTION_CHECK	Req 10.6	Daily log review
GuardDuty Enabled	GUARDDUTY_ENABLED_CENTRALIZED	Req 11.4	Intrusion detection

Deploy only when complianceFrameworks includes "GDPR":

Rule Name	AWS Managed Rule ID	GDPR Article Mapping	Purpose
EC2 EBS Optimized	EC2_EBS_OPTIMIZATION_CHECK	Art 25	Data protection by design
VPC Flow Logs	VPC_FLOW_LOGS_ENABLED	Art 30(1)	Records of processing
S3 KMS Encryption	S3_DEFAULT_ENCRYPTION_KMS	Art 32(1)(a)	Pseudonymisation/encryption
KMS Key Rotation	CMK_BACKING_KEY_ROTATION_ENABLED	Art 32(1)(d)	Security measures testing
Restricted RDP	RESTRICTED_INCOMING_TRAFFIC	Art 32(1)(b)	Access control
DynamoDB Autoscaling	DYNAMODB_AUTOSCALING_ENABLED	Art 25	Privacy by design
S3 Replication	S3_BUCKET_REPLICATION_ENABLED	Art 32(1)(c)	Resilience of systems
GuardDuty Findings	GUARDDUTY_NON_ARCHIVED_FINDINGS	Art 32(1)(d)	Testing effectiveness

Total Unique Rules When All Frameworks Enabled: 40 (9 base + 31 framework-specific)

Evidence Collection for Auditors

1. Infrastructure Configuration Evidence

Location: Git repository (github.com/yourdomain/cfc-core) Evidence Type: Configuration baseline

Files to Review:

cloudforge-api/src/main/java/com/cloudforgeci/api/observability/ComplianceFactory.java - AWS Config rules definitions
cloudforge-api/src/main/java/com/cloudforgeci/api/observability/GuardDutyFactory.java - Threat detection setup
cloudforge-api/src/main/java/com/cloudforgeci/api/constructs/SecurityConstruct.java - IAM policies and encryption
cfc-testing/deployment-context.json - Deployment configuration with compliance frameworks
.github/workflows/deployment-testing.yml - CI/CD pipeline with approval gates
cfc-testing/test-results/enhanced-synth-results/FARGATE-PRODUCTION-*.json - Synthesized CloudFormation templates

Example File Path for Synthesized Template:

cfc-testing/test-results/enhanced-synth-results/
  └── FARGATE-PRODUCTION-alb-oidc-private-with-nat-template.json

Code References for Key Controls:

Control	Implementation	Line Numbers	Git Commit
IAM Password Policy	`ComplianceFactory.java`	Lines 626, 942	`549118c`
Root Account MFA	`ComplianceFactory.java`	Lines 1323, 1720	`549118c`
IAM User MFA	`ComplianceFactory.java`	Lines 1123, 1542	`549118c`
S3 Public Read Prohibited	`ComplianceFactory.java`	Lines 578, 923	`549118c`
S3 Versioning Enabled	`ComplianceFactory.java`	Lines 587, 930	`549118c`
CloudTrail Enabled	`ComplianceFactory.java`	Lines 855, 961	`549118c`
VPC Flow Logs	`ComplianceFactory.java`	Lines 871, 975, 1393, 1784	`549118c`
RDS Storage Encrypted	`ComplianceFactory.java`	Lines 1087, 1509	`549118c`
GuardDuty Setup	`GuardDutyFactory.java`	Full file	`549118c`

How to Verify:

# View specific control implementation
git show 549118c:cloudforge-api/src/main/java/com/cloudforgeci/api/observability/ComplianceFactory.java | sed -n '626p'

# View commit details
git show 549118c --stat

# View file at specific line
sed -n '626,650p' cloudforge-api/src/main/java/com/cloudforgeci/api/observability/ComplianceFactory.java

Audit Assertion: Infrastructure deployed matches source code (immutable infrastructure)

2. AWS Config Compliance Reports

Location: AWS Console > Config > Dashboard Evidence Type: Continuous monitoring

Console Navigation:

Log into AWS Console
Navigate to: Services > Management & Governance > AWS Config
Click Dashboard in left sidebar
View Compliance status widget showing COMPLIANT/NON_COMPLIANT counts
Click Rules to see individual Config rule status
For specific rule details: Click rule name > Compliance timeline tab

CLI Access:

# Get compliance summary
aws configservice describe-compliance-by-config-rule \
  --output json > config-compliance-$(date +%Y%m%d).json

# Get detailed compliance for specific rule
aws configservice get-compliance-details-by-config-rule \
  --config-rule-name iam-password-policy \
  --output json

# Get compliance summary for all rules (count)
aws configservice get-compliance-summary-by-config-rule \
  --output table

Evidence Screenshot Checklist:

Config Dashboard showing overall compliance percentage
Rules list filtered by compliance status (COMPLIANT)
Sample of 5-10 individual rule compliance timelines
Non-compliant resources (if any) with timestamps

Audit Assertion: Controls are continuously monitored and non-compliance is detected

3. CloudTrail Audit Logs

Location: S3 bucket (s3://your-cloudtrail-bucket/) Evidence Type: Audit trail Retention: 6 years (HIPAA), 2 years (SOC2), 1 year (PCI-DSS)

S3 Bucket Path Structure:

s3://<your-cloudtrail-bucket>/
  └── AWSLogs/
      └── <account-id>/
          └── CloudTrail/
              └── <region>/
                  └── YYYY/MM/DD/
                      └── <account-id>_CloudTrail_<region>_YYYYMMDDTHHmmZ_<hash>.json.gz

Example Bucket Name Pattern:

Stack name: fargate-production-alb-oidc-private-with-nat-20
CloudTrail bucket: fargate-production-alb-oidc-private-with-nat-20-cloudtrail-<account-id>
Location: s3://fargate-production-alb-oidc-private-with-nat-20-cloudtrail-<account-id>/AWSLogs/<account-id>/CloudTrail/us-east-1/2025/11/20/

Console Navigation:

Navigate to: Services > CloudTrail > Event history
Filter by: Event name, User name, Resource type
Click individual events to see full JSON details
For S3 logs: Services > S3 > Find CloudTrail bucket > Browse folders

CLI Access:

# Find CloudTrail bucket name
aws cloudtrail describe-trails \
  --query 'trailList[*].[Name,S3BucketName]' \
  --output table

# Query recent IAM changes
aws cloudtrail lookup-events \
  --lookup-attributes AttributeKey=EventName,AttributeValue=PutUserPolicy \
  --start-time 2025-01-01T00:00:00Z \
  --end-time 2025-12-31T23:59:59Z

# Verify trail is logging
aws cloudtrail get-trail-status \
  --name <trail-name> \
  --query '{IsLogging:IsLogging,LatestDeliveryTime:LatestDeliveryTime}'

# List trails in your account
aws cloudtrail list-trails \
  --output table

Evidence Collection Checklist:

CloudTrail trail status showing IsLogging: true
Sample of 20 recent CloudTrail events (API calls)
S3 bucket lifecycle policy showing retention configuration
CloudTrail log file integrity validation status
S3 bucket versioning enabled for tamper protection

Audit Assertion: All administrative actions are logged and tamper-evident

4. SSM Automation Remediation History

Location: AWS Console > Systems Manager > Automation Evidence Type: Remediation effectiveness

Console Navigation:

Navigate to: Services > Systems Manager > Automation
View Execution status (Success, Failed, In Progress)
Filter by: Time range, Document name, Status
Click execution ID to see:
- Executed steps with timestamps
- Inputs (which resource was remediated)
- Outputs (remediation result)
- Execution time (duration)

CLI Access:

# List remediation executions (last 90 days)
aws ssm describe-automation-executions \
  --filters "Key=ExecutionStatus,Values=Success" \
  --max-results 50 \
  --output json

# Get execution details with steps
aws ssm get-automation-execution \
  --automation-execution-id <EXECUTION_ID> \
  --query '{ExecutionId:AutomationExecutionId,Status:AutomationExecutionStatus,StartTime:ExecutionStartTime,EndTime:ExecutionEndTime,DocumentName:DocumentName,Outputs:Outputs}'

# List all executions for specific document (remediation action)
aws ssm describe-automation-executions \
  --filters "Key=DocumentNamePrefix,Values=AWS-EnableS3BucketEncryption" \
  --output table

Example SSM Document ARNs for Common Remediations:

Enable S3 encryption: arn:aws:ssm:us-east-1:<account-id>:document/AWS-EnableS3BucketEncryption
Enable CloudTrail: arn:aws:ssm:us-east-1:<account-id>:document/AWS-ConfigureCloudTrailLogging
Enable EBS encryption: arn:aws:ssm:us-east-1:<account-id>:document/AWS-EnableEBSEncryptionByDefault
Attach MFA policy: arn:aws:ssm:us-east-1:<account-id>:document/AWS-AttachIAMToUser

Evidence Collection Checklist:

List of all SSM automation executions (last 90 days)
Sample of 5 successful remediation executions with details
Execution timing analysis (time from non-compliant detection to remediation)
Failed executions (if any) with root cause analysis
Before/after Config evaluation results

Audit Assertion: Non-compliant resources are automatically remediated

5. CloudFormation Stack History

Location: AWS Console > CloudFormation > Stacks Evidence Type: Change control

How to Access:

# List stack events (deployments)
aws cloudformation describe-stack-events \
  --stack-name jenkinsTSoc \
  --output json

# Get stack template (current configuration)
aws cloudformation get-template \
  --stack-name jenkinsTSoc \
  --query TemplateBody

Audit Assertion: Infrastructure changes follow change control process (Git → CI/CD → CloudFormation)

Change Management and Version Control

Git-Based Configuration Management

Repository: Public GitHub repository at https://github.com/CloudForgeCI/cfc-core Version Control System: Git with GitHub pull request workflow

Change Control Process:

Code Changes → Developers create feature branch from main
Pull Request → Developer opens PR with description of changes
Automated Checks → GitHub Actions CI/CD pipeline runs:
- Maven build and unit tests
- CDK synthesis validation
- CloudFormation template validation
- Deployment dry-run tests
Code Review → Required approver(s) review the changes
Approval Gate → PR must have approved review before merge
Merge to Main → Changes merged to main branch
Deployment → Automated or manual deployment to AWS via CDK

GitHub Workflow Configuration:

File: .github/workflows/deployment-testing.yml
Runs on: Pull requests and pushes to main branch
Checks: Build, test, synth, deployment validation

Who Can Approve Changes:

Repository administrators (configurable in GitHub settings)
Code owners specified in .github/CODEOWNERS file (if present)
Users with "Write" or "Admin" permissions on the repository

Example PR Approval Requirements (Configurable):

# .github/workflows/deployment-testing.yml
# Branch protection rules enforced via GitHub settings:
- Require pull request before merging: ✅
- Require approvals: 1 (configurable)
- Require status checks to pass: ✅
- Require branches to be up to date: ✅

Evidence of Change Control:

Git Commit History:

# View all commits with author and timestamp
git log --oneline --graph --all --decorate

# View commits for specific file (e.g., ComplianceFactory.java)
git log --follow cloudforge-api/src/main/java/com/cloudforgeci/api/observability/ComplianceFactory.java

# View who changed what when
git blame cloudforge-api/src/main/java/com/cloudforgeci/api/observability/ComplianceFactory.java

Pull Request Approval History:

# GitHub CLI - List PRs with approval status
gh pr list --state merged --limit 50

# View specific PR details including approvals
gh pr view <PR_NUMBER>

# View PR reviews and approvals
gh pr checks <PR_NUMBER>

CI/CD Pipeline Status:

# View GitHub Actions workflow runs
gh run list --workflow=deployment-testing.yml --limit 20

# View specific workflow run details
gh run view <RUN_ID>

# View workflow run logs
gh run view <RUN_ID> --log

GitHub Console Navigation:

Go to: https://github.com/CloudForgeCI/cfc-core
Click Pull requests tab
Filter by: Merged, Closed, Author, Label
Click individual PR to see:
- Files changed (code diff)
- Commits (individual changes)
- Checks (CI status: passed/failed)
- Reviews (approvals and comments)
- Conversation (discussion and approval timestamps)

Audit Trail Evidence:

Git commit log showing all infrastructure changes (last 12 months)
Sample of 10 merged pull requests with approval evidence
GitHub Actions workflow run history (CI status checks)
Branch protection rules screenshot showing approval requirements
List of users with write/admin access to repository

Audit Assertion: All infrastructure changes follow documented change control process with approval and testing before deployment

Sample Audit Testing Procedures

Test 1: Verify IAM Password Policy (SOC2 CC6.1.2, HIPAA § 164.308(a)(5)(i)(D))

Control Objective: Ensure strong passwords are enforced

Test Steps:

Navigate to AWS Console > IAM > Account settings > Password policy
Verify the following settings:
- ✅ Minimum password length: 12 characters (SOC2) or 14 (HIPAA)
- ✅ Require uppercase letters
- ✅ Require lowercase letters
- ✅ Require numbers
- ✅ Require symbols
- ✅ Password expiration: 90 days
- ✅ Password reuse prevention: 12 (SOC2) or 24 (HIPAA)
Verify Config rule is compliant:

aws configservice describe-compliance-by-config-rule \
  --config-rule-names iam-password-policy \
  --query 'ComplianceByConfigRules[0].Compliance.ComplianceType'

Expected Result: COMPLIANT Evidence: Screenshot of IAM password policy + Config rule status

Test 2: Verify Encryption at Rest (SOC2 CC6.6.1, HIPAA § 164.312(a)(2)(iv), PCI Req 3.5)

Control Objective: Ensure all data is encrypted at rest

Test Steps:

Select sample of 10 EBS volumes:

aws ec2 describe-volumes \
  --query 'Volumes[*].[VolumeId,Encrypted]' \
  --output table

Verify ALL volumes show Encrypted: True
Verify Config rule is compliant:

aws configservice describe-compliance-by-config-rule \
  --config-rule-names encrypted-volumes

Repeat for RDS databases:

aws rds describe-db-instances \
  --query 'DBInstances[*].[DBInstanceIdentifier,StorageEncrypted]' \
  --output table

Expected Result: All resources encrypted Evidence: CLI output showing encryption status + Config rule compliance

Test 3: Verify Audit Log Retention (SOC2 CC6.7.2, HIPAA § 164.312(b), PCI Req 10.4.1)

Control Objective: Ensure logs are retained per compliance requirements

Test Steps:

Identify CloudTrail S3 bucket:

aws cloudtrail describe-trails \
  --query 'trailList[0].S3BucketName'

Review S3 lifecycle policy:

aws s3api get-bucket-lifecycle-configuration \
  --bucket <BUCKET_NAME>

Verify transitions match compliance profile:
- SOC2: 2 years (730 days)
- HIPAA: 6 years (2190 days)
- PCI-DSS: 1 year (365 days), 90 days immediately available
Test log files exist from required retention period:

# For SOC2 (2 years)
aws s3 ls s3://<BUCKET_NAME>/AWSLogs/123456789012/CloudTrail/ \
  --recursive | grep "$(date -d '2 years ago' +%Y/%m)"

Expected Result: Logs exist for entire retention period, lifecycle policy configured correctly Evidence: S3 lifecycle policy JSON + log file listing

Evidence Retention and S3 Lifecycle Policies

Overview

CloudForge CI automatically configures S3 bucket lifecycle policies to meet compliance framework retention requirements. Retention periods vary by compliance profile and log type.

Retention Requirements by Framework

Framework	Audit Logs	Application Logs	Backup Retention	Legal Basis
SOC2	2 years	2 years	2 years	Industry standard (AICPA guidance)
HIPAA	6 years	6 years	6 years	45 CFR § 164.316(b)(2)(i)
PCI-DSS	1 year (90 days immediate)	1 year	1 year	PCI-DSS Req 10.5.1
GDPR	Varies (purpose-based)	Varies	Varies	Article 5(1)(e) - storage limitation

S3 Lifecycle Policy Configuration

Location of Lifecycle Policies:

CloudFormation Template:
  └── Resources:
      └── CloudTrailBucket (Type: AWS::S3::Bucket)
          └── LifecycleConfiguration:
              └── Rules:
                  ├── Transition to Glacier (cost optimization)
                  └── Expiration (retention limit)

Example S3 Bucket Names:

CloudTrail logs: <stack-name>-cloudtrail-<account-id>
ALB access logs: <stack-name>-alb-logs-<account-id>
VPC Flow Logs: <stack-name>-vpc-flowlogs-<account-id>

Checking S3 Lifecycle Policies (Auditor Instructions)

Console Navigation:

Navigate to: Services > S3
Find CloudTrail bucket (e.g., fargate-production-alb-oidc-private-with-nat-20-cloudtrail-<account-id>)
Click bucket name > Management tab > Lifecycle rules
Review each lifecycle rule:
- Rule name (e.g., "CloudTrail-Retention-SOC2")
- Transition actions (e.g., move to Glacier after 90 days)
- Expiration actions (e.g., delete after 730 days for SOC2)

CLI Access:

# Get lifecycle configuration for CloudTrail bucket
aws s3api get-bucket-lifecycle-configuration \
  --bucket <cloudtrail-bucket-name> \
  --output json

# Example output interpretation:
{
  "Rules": [
    {
      "ID": "CloudTrail-Retention-SOC2",
      "Status": "Enabled",
      "Transitions": [
        {
          "Days": 90,
          "StorageClass": "GLACIER"
        }
      ],
      "Expiration": {
        "Days": 730  # 2 years for SOC2
      }
    }
  ]
}

# List all S3 buckets with lifecycle policies
aws s3api list-buckets --query 'Buckets[*].Name' --output text | \
  while read bucket; do
    echo "Bucket: $bucket"
    aws s3api get-bucket-lifecycle-configuration --bucket $bucket 2>/dev/null || echo "No lifecycle policy"
    echo "---"
  done

Lifecycle Policy Examples by Compliance Framework

SOC2 Lifecycle Policy (2-Year Retention)

{
  "Rules": [
    {
      "ID": "SOC2-CloudTrail-Retention",
      "Status": "Enabled",
      "Prefix": "AWSLogs/",
      "Transitions": [
        {
          "Days": 90,
          "StorageClass": "STANDARD_IA"
        },
        {
          "Days": 180,
          "StorageClass": "GLACIER"
        }
      ],
      "Expiration": {
        "Days": 730
      }
    }
  ]
}

Explanation:

Days 0-90: S3 Standard storage (frequent access)
Days 90-180: S3 Standard-IA (infrequent access, cost savings)
Days 180-730: Glacier storage (long-term archive, lowest cost)
Day 730+: Automatic deletion (end of retention period)

HIPAA Lifecycle Policy (6-Year Retention)

{
  "Rules": [
    {
      "ID": "HIPAA-CloudTrail-Retention",
      "Status": "Enabled",
      "Prefix": "AWSLogs/",
      "Transitions": [
        {
          "Days": 90,
          "StorageClass": "STANDARD_IA"
        },
        {
          "Days": 365,
          "StorageClass": "GLACIER"
        },
        {
          "Days": 730,
          "StorageClass": "DEEP_ARCHIVE"
        }
      ],
      "Expiration": {
        "Days": 2190
      }
    }
  ]
}

Explanation:

Days 0-90: S3 Standard (immediate retrieval)
Days 90-365: S3 Standard-IA (occasional access)
Days 365-730: Glacier (archive, hours retrieval)
Days 730-2190: Glacier Deep Archive (long-term, 12-hour retrieval)
Day 2190+: Automatic deletion (6 years per HIPAA § 164.316)

PCI-DSS Lifecycle Policy (1-Year Retention, 90-Day Immediate Access)

{
  "Rules": [
    {
      "ID": "PCI-DSS-CloudTrail-Retention",
      "Status": "Enabled",
      "Prefix": "AWSLogs/",
      "Transitions": [
        {
          "Days": 90,
          "StorageClass": "GLACIER"
        }
      ],
      "Expiration": {
        "Days": 365
      }
    }
  ]
}

Explanation:

Days 0-90: S3 Standard (immediate access per PCI Req 10.5.1)
Days 90-365: Glacier (archive remaining 9 months)
Day 365+: Automatic deletion (1-year retention)

Verifying Log File Existence (Sampling)

Test if logs exist for full retention period:

# Check oldest CloudTrail log (SOC2 = 2 years)
BUCKET_NAME="fargate-production-alb-oidc-private-with-nat-20-cloudtrail-123456789012"
TARGET_DATE=$(date -d '2 years ago' +%Y/%m/%d)

# List logs from 2 years ago
aws s3 ls s3://${BUCKET_NAME}/AWSLogs/123456789012/CloudTrail/us-east-1/${TARGET_DATE}/ \
  --recursive

# Expected: Log files should exist (proving 2-year retention is working)
# If empty: Retention policy may not be working or stack is < 2 years old

# Check log count by month (verify continuous coverage)
for MONTH in {1..24}; do
  CHECK_DATE=$(date -d "$MONTH months ago" +%Y/%m)
  COUNT=$(aws s3 ls s3://${BUCKET_NAME}/AWSLogs/123456789012/CloudTrail/us-east-1/ \
    --recursive | grep "$CHECK_DATE" | wc -l)
  echo "$CHECK_DATE: $COUNT files"
done

Auditor Evidence Checklist for Retention

S3 lifecycle policy JSON for CloudTrail bucket
S3 lifecycle policy JSON for ALB logs bucket
S3 lifecycle policy JSON for VPC Flow Logs bucket
Sample log file listing showing dates across retention period
Storage class transitions verified (Standard → IA → Glacier)
Expiration period matches compliance requirement
S3 bucket versioning enabled (prevents tampering)
S3 bucket encryption enabled (SSE-S3 or SSE-KMS)

Cost Optimization vs. Compliance

Balance:

Frequent access (0-90 days): S3 Standard ($0.023/GB)
Occasional access (90-365 days): S3 Standard-IA ($0.0125/GB)
Archive (1+ years): Glacier ($0.004/GB) or Deep Archive ($0.00099/GB)

Compliance Note: PCI-DSS requires 90 days of logs be "immediately available" (S3 Standard). Logs older than 90 days can be in Glacier (hours retrieval time) to save costs while maintaining 1-year retention.

Key Principle: Personal data shall not be kept longer than necessary.

CloudForge Approach:

Technical logs (CloudTrail, VPC Flow Logs) contain minimal personal data (IP addresses)
Retention periods match other compliance requirements (SOC2, HIPAA, PCI-DSS)
Organizations can override retention periods via logRetentionDays parameter

Example GDPR-Specific Configuration:

{
  "logRetentionDays": "365",  // 1 year for GDPR
  "complianceFrameworks": "GDPR"
}

This will set S3 lifecycle expiration to 365 days instead of longer retention periods.

Auditor Note: Organizations must demonstrate that retention periods are necessary for legal obligations or legitimate business purposes. Retention beyond GDPR minimization should be justified (e.g., HIPAA legal requirement for 6-year retention).

Test 4: Verify MFA Enforcement (SOC2 CC6.1.2, HIPAA § 164.312(d), PCI Req 8.3.1)

Control Objective: Multi-factor authentication required for all users

Test Steps:

List all IAM users:

aws iam list-users \
  --query 'Users[*].[UserName,CreateDate]' \
  --output table

For sample of 10 users, verify MFA enabled:

aws iam list-mfa-devices \
  --user-name <USERNAME>

Verify Config rule compliance:

aws configservice describe-compliance-by-config-rule \
  --config-rule-names iam-user-mfa-enabled root-account-mfa-enabled

Verify NO users are non-compliant:

aws configservice get-compliance-details-by-config-rule \
  --config-rule-name iam-user-mfa-enabled \
  --compliance-types NON_COMPLIANT

Expected Result: All users have MFA enabled, Config rule COMPLIANT Evidence: User MFA status report + Config rule compliance

Test 5: Verify Remediation Effectiveness (SOC2 CC7.2.3)

Control Objective: Non-compliant resources are automatically remediated

Test Steps:

Review SSM Automation executions for past 90 days:

aws ssm describe-automation-executions \
  --max-results 50 \
  --filters "Key=ExecutionStatus,Values=Success,Failed"

For sample of 5 executions, verify:
- Execution triggered by Config rule
- Execution completed successfully
- Resource became compliant after execution
Test remediation timing (should be < 5 minutes):
- Review Config rule evaluation timestamp
- Review SSM execution start timestamp
- Calculate time delta

Expected Result: All remediations completed successfully within 5 minutes Evidence: SSM execution history + timing analysis

Guidance for Auditors: Management Letter Language

Deficiency Report Guidance for Out-of-Scope Controls

When controls are identified as not implemented because they are outside the scope of infrastructure automation, auditors can use the following language in management letters:

Finding: "The organization has implemented automated technical controls for infrastructure security via CloudForge CI (16 AWS Config rules for SOC2). However, organizational controls such as security policies, employee training programs, and documented procedures were not in scope for this infrastructure automation assessment."

Management Response (Suggested): "CloudForge CI provides technical infrastructure controls representing approximately 17% of SOC2 Trust Service Criteria. The organization acknowledges that organizational policies, employee awareness training, and documented procedures (representing the remaining 83%) must be implemented separately and are maintained outside of the infrastructure automation system."

Recommendation: "Management should document and implement organizational security policies, procedures, and training programs to complement the automated infrastructure controls. These should be reviewed annually and updated as needed."

Example 2: Application-Level Controls (PCI-DSS Req 3-4)

Finding: "PCI-DSS Requirements 3 and 4 (cardholder data handling and transmission) cannot be fully addressed at the infrastructure level. The infrastructure provides encryption capabilities (TLS 1.2+, KMS encryption), but how applications handle cardholder data (PAN masking, data flow restrictions, storage limitations) is application-specific and outside the scope of infrastructure automation."

Management Response (Suggested): "CloudForge CI provides encryption infrastructure and network security controls for PCI-DSS compliance. Application-level handling of cardholder data (Requirements 3-4) is implemented in our Jenkins pipelines and custom applications, which are subject to separate security reviews and code audits."

Recommendation: "Management should conduct application-level security assessments to validate that Jenkins pipelines and custom applications properly implement PCI-DSS Requirements 3-4 for cardholder data handling. This should include code reviews, penetration testing, and application security scanning."

Finding: "GDPR Data Subject Rights (Articles 15-22: access, rectification, erasure, portability) require business process workflows that cannot be fully automated at the infrastructure level. CloudForge CI provides audit logs and encryption, but DSR request fulfillment requires human review and business logic."

Management Response (Suggested): "The organization acknowledges that GDPR Data Subject Rights require business processes beyond infrastructure automation. CloudForge CI provides the technical foundation (audit logs, access controls, encryption) to support DSR fulfillment. The organization has established manual procedures for receiving, validating, and fulfilling DSR requests using the audit logs provided by CloudForge CI infrastructure."

Recommendation: "Management should document and implement GDPR Data Subject Rights procedures, including DSR request intake, identity verification, data retrieval workflows, and response timelines (within 30 days per GDPR Article 12). CloudForge audit logs can be used to identify personal data locations and processing activities."

Example 4: Third-Party Testing (PCI-DSS Req 11)

Finding: "PCI-DSS Requirement 11 mandates quarterly external vulnerability scans by an Approved Scanning Vendor (ASV) and annual penetration testing. These requirements cannot be automated within the infrastructure and require engagement with qualified third-party security firms."

Management Response (Suggested): "The organization acknowledges the requirement for external vulnerability scans and penetration testing. CloudForge CI provides infrastructure hardening and continuous monitoring, which reduces vulnerabilities. The organization will engage an Approved Scanning Vendor (ASV) for quarterly external scans and qualified penetration testers for annual assessments as required by PCI-DSS Requirement 11."

Recommendation: "Management should establish contracts with an Approved Scanning Vendor (ASV) for quarterly external vulnerability scans and qualified penetration testing firms for annual assessments. Results should be tracked, remediated, and documented for QSA review."

Overview for Auditors

Key Point: GDPR is predominantly an organizational and legal framework. CloudForge CI provides Article 32 technical safeguards (encryption, access control, audit logging), but Data Subject Rights (DSR) and breach notification require business processes that cannot be fully automated.

✅ Article 32 - Security of Processing:

Encryption at rest (EBS, RDS, S3) via KMS
Encryption in transit (TLS 1.2+ for ALB listeners)
Access controls (IAM policies, security groups)
Audit logging (CloudTrail, VPC Flow Logs)
Continuous monitoring (AWS Config)

✅ Article 30 - Records of Processing (Partial Support):

CloudTrail logs show what data was accessed and by whom
VPC Flow Logs show network traffic patterns
CloudWatch Logs show application-level processing

✅ Article 25 - Data Protection by Design:

Encryption enabled by default
Least privilege IAM policies
Private subnets with NAT gateway (network isolation)

What Requires Business Process Implementation

❌ Articles 15-22 - Data Subject Rights (DSR):

These cannot be automated and require human review:

Article 15 - Right of Access:
- DSR request: "What personal data do you have about me?"
- Process Required: Query CloudTrail/CloudWatch logs, application databases, backups
- CloudForge Support: Audit logs help identify where data is stored and processed
- Response Time: 30 days (GDPR Article 12)
Article 16 - Right to Rectification:
- DSR request: "Correct my personal data"
- Process Required: Update application databases, verify identity
- CloudForge Support: Access controls ensure only authorized personnel can modify data
Article 17 - Right to Erasure ("Right to be Forgotten"):
- DSR request: "Delete my personal data"
- Process Required: Delete from databases, backups, logs (with retention exceptions)
- CloudForge Support: S3 lifecycle policies can automate deletion after retention period
- Important: Some logs may have retention requirements (e.g., 6 years for HIPAA) that supersede erasure
Article 20 - Right to Data Portability:
- DSR request: "Give me my data in a machine-readable format"
- Process Required: Export from application databases (JSON, CSV, XML)
- CloudForge Support: Secure data export via encrypted S3 buckets
Article 21 - Right to Object:
- DSR request: "Stop processing my data for marketing"
- Process Required: Update application consent management, processing restrictions
- CloudForge Support: Access controls prevent unauthorized processing

Recommended DSR Workflow:

1. DSR Request Received (email, web form, phone)
   ↓
2. Identity Verification (prevent fraudulent requests)
   ↓
3. Data Discovery (query CloudTrail, databases, backups)
   ↓
4. Legal Review (check retention obligations, lawful basis)
   ↓
5. Fulfillment (access/rectify/erase/export/restrict)
   ↓
6. Response to Data Subject (within 30 days)
   ↓
7. Documentation (log DSR request and fulfillment)

❌ Articles 33-34 - Breach Notification:

Breach notification requires incident response procedures:

Article 33 - Notification to Supervisory Authority:
- Requirement: Notify within 72 hours of breach discovery
- Process Required: Incident detection, assessment, notification to DPA
- CloudForge Support: GuardDuty findings, CloudTrail anomalies, Config non-compliance alerts
Article 34 - Notification to Data Subjects:
- Requirement: Notify affected individuals without undue delay
- Process Required: Identify affected users, communication plan, breach disclosure
- CloudForge Support: Audit logs help determine scope and affected users

Recommended Breach Response Workflow:

1. Detection (GuardDuty alert, Config non-compliance, unauthorized access)
   ↓
2. Containment (isolate compromised systems, revoke credentials)
   ↓
3. Assessment (determine data involved, number of affected individuals)
   ↓
4. Legal Review (determine notification requirements)
   ↓
5. Notification to DPA (within 72 hours)
   ↓
6. Notification to Data Subjects (if high risk)
   ↓
7. Remediation (fix vulnerability, improve controls)
   ↓
8. Documentation (incident report, lessons learned)

Evidence Retention for DSR and Breach Notification

For DSR Requests:

Document all DSR requests received (date, type, requestor)
Document identity verification steps
Document fulfillment actions taken
Document response provided and date sent
Retention: 7 years (demonstrating GDPR compliance)

For Breach Notification:

Document breach discovery date and time
Document assessment of breach scope (data affected, number of individuals)
Document notification to DPA (date, method, response)
Document notification to data subjects (date, method, content)
Retention: 7 years (demonstrating GDPR compliance)

Test 1: DSR Procedure Documentation

Review written DSR procedures
Verify identity verification process documented
Confirm response timelines documented (30 days)

Test 2: DSR Request Log

Review log of DSR requests received (last 12 months)
Sample 5 DSR requests and verify fulfillment within 30 days
Verify identity verification was performed

Test 3: Breach Notification Procedures

Review written breach notification procedures
Verify DPA contact information documented
Confirm 72-hour notification timeline documented

Test 4: Incident Response Plan

Review incident response plan
Verify breach notification procedures included
Confirm incident response plan tested annually

Limitations and Gaps

Controls NOT Implemented

The following controls are outside the scope of automated infrastructure and require organizational implementation:

SOC2:

❌ Control Environment (CC1.x) - governance, organizational structure
❌ Risk Assessment (CC2.x) - business risk analysis
❌ Control Activities (CC3.x) - documented policies
❌ Vendor Management (CC9.x) - third-party assessments
❌ Availability Commitments (A1.x) - SLA definition and monitoring

HIPAA:

❌ Administrative Safeguards (majority of § 164.308)
❌ Physical Safeguards (all of § 164.310)
❌ Breach Notification Procedures (§ 164.408)
❌ Business Associate Agreements (§ 164.314)
❌ Patient Rights (§ 164.524-528)

PCI-DSS:

❌ Network Diagrams and Documentation (Req 1.1)
❌ Cardholder Data Handling (Req 3-4 - application level)
❌ Secure Development Lifecycle (Req 6)
❌ Physical Security (Req 9)
❌ Vulnerability Scanning and Penetration Testing (Req 11)
❌ Security Policies and Procedures (Req 12)

❌ Privacy Notices (Art 13-14)
❌ Data Subject Rights Workflow (Art 15-22)
❌ Records of Processing Activities (Art 30)
❌ Breach Notification (Art 33-34)
❌ Data Protection Impact Assessments (Art 35)
❌ Data Protection Officer (Art 37)
❌ Data Processing Agreements (Art 28)

Auditor Checklist

Use this checklist when auditing CloudForge CI implementations:

Pre-Audit

Receive read-only AWS console access (SecurityAudit IAM policy)
Receive read-only Git repository access
Obtain deployment context configuration file
Identify compliance frameworks in scope (SOC2/HIPAA/PCI-DSS/GDPR)

Infrastructure Review

Review CloudFormation templates in Git repository
Verify deployed stack matches source code
Review change history (Git commits, PR approvals)
Verify CI/CD pipeline configuration

Control Testing

Execute Test 1: IAM Password Policy
Execute Test 2: Encryption at Rest
Execute Test 3: Audit Log Retention
Execute Test 4: MFA Enforcement
Execute Test 5: Remediation Effectiveness
Sample additional Config rules (minimum 10 rules)

Evidence Collection

Export Config compliance report (JSON)
Export CloudTrail logs (sample period)
Export SSM Automation execution history
Screenshot IAM password policy
Screenshot S3 lifecycle policies
Export Audit Manager assessment (if available)

Organizational Controls (Out of Scope)

Note that organizational policies must be audited separately
Request security policy manual
Request employee training records
Request incident response plan
Request vendor management documentation

Final Report

Document control implementation (Technical controls: 30-40% of requirements)
Document testing results for automated controls
List controls not implemented (organizational)
Provide recommendations for organizational controls
Issue management letter for any deficiencies

Document Distribution: This document is publicly available as part of the CloudForge CI open-source project. It describes the automated security controls provided by the infrastructure. Organizations using CloudForge CI should customize this document with their specific:

AWS account IDs and resource ARNs
S3 bucket names and retention policies
Contact information and organizational structure (technical lead, security officer, compliance officer)
Additional organizational controls implemented beyond infrastructure automation

Last Updated: 2025-11-20 | Version: 2.0.6

Purpose​

Executive Summary for Auditors​

What This System Provides​

Control Mapping Matrix​

3.1 SOC2 Trust Service Criteria​

3.2 HIPAA Security Rule Mapping (45 CFR Part 164 Subpart C)​

3.3 PCI-DSS v4.0 Requirements​

3.4 GDPR Articles Mapping​

AWS Audit Manager Integration​

Supported Frameworks​

Evidence Collection​

Assessment Reports​

Detailed AWS Config Rules Breakdown​

Base Rules (Always Deployed - 9 Rules)​

SOC2-Specific Rules (7 Rules)​

HIPAA-Specific Rules (8 Rules)​

PCI-DSS-Specific Rules (8 Rules)​

GDPR-Specific Rules (8 Rules)​

Evidence Collection for Auditors​

1. Infrastructure Configuration Evidence​

2. AWS Config Compliance Reports​

3. CloudTrail Audit Logs​

4. SSM Automation Remediation History​

5. CloudFormation Stack History​

Change Management and Version Control​

Git-Based Configuration Management​

Sample Audit Testing Procedures​

Test 1: Verify IAM Password Policy (SOC2 CC6.1.2, HIPAA § 164.308(a)(5)(i)(D))​

Test 2: Verify Encryption at Rest (SOC2 CC6.6.1, HIPAA § 164.312(a)(2)(iv), PCI Req 3.5)​

Test 3: Verify Audit Log Retention (SOC2 CC6.7.2, HIPAA § 164.312(b), PCI Req 10.4.1)​

Evidence Retention and S3 Lifecycle Policies​

Overview​

Retention Requirements by Framework​

S3 Lifecycle Policy Configuration​

Checking S3 Lifecycle Policies (Auditor Instructions)​

Lifecycle Policy Examples by Compliance Framework​

SOC2 Lifecycle Policy (2-Year Retention)​

HIPAA Lifecycle Policy (6-Year Retention)​

PCI-DSS Lifecycle Policy (1-Year Retention, 90-Day Immediate Access)​

Verifying Log File Existence (Sampling)​

Auditor Evidence Checklist for Retention​

Cost Optimization vs. Compliance​

GDPR Storage Limitation (Article 5(1)(e))​

Test 4: Verify MFA Enforcement (SOC2 CC6.1.2, HIPAA § 164.312(d), PCI Req 8.3.1)​

Test 5: Verify Remediation Effectiveness (SOC2 CC7.2.3)​

Guidance for Auditors: Management Letter Language​

Deficiency Report Guidance for Out-of-Scope Controls​

Example 1: Organizational Policies (SOC2, PCI-DSS, HIPAA, GDPR)​

Example 2: Application-Level Controls (PCI-DSS Req 3-4)​

Example 3: Data Subject Rights (GDPR Art 15-22)​

Example 4: Third-Party Testing (PCI-DSS Req 11)​

GDPR Data Subject Rights and Privacy Guidance​

Overview for Auditors​

What CloudForge CI Provides (GDPR Technical Foundation)​

What Requires Business Process Implementation​

Evidence Retention for DSR and Breach Notification​

Auditor Testing for GDPR DSR Compliance​

Limitations and Gaps​

Controls NOT Implemented​

SOC2:​

HIPAA:​

PCI-DSS:​

GDPR:​

Auditor Checklist​

Pre-Audit​

Infrastructure Review​

Control Testing​

Evidence Collection​

Organizational Controls (Out of Scope)​

Final Report​

Purpose

Executive Summary for Auditors

What This System Provides

Control Mapping Matrix

3.1 SOC2 Trust Service Criteria

3.2 HIPAA Security Rule Mapping (45 CFR Part 164 Subpart C)

3.3 PCI-DSS v4.0 Requirements

3.4 GDPR Articles Mapping

AWS Audit Manager Integration

Supported Frameworks

Evidence Collection

Assessment Reports

Detailed AWS Config Rules Breakdown

Base Rules (Always Deployed - 9 Rules)

SOC2-Specific Rules (7 Rules)

HIPAA-Specific Rules (8 Rules)

PCI-DSS-Specific Rules (8 Rules)

GDPR-Specific Rules (8 Rules)

Evidence Collection for Auditors

1. Infrastructure Configuration Evidence

2. AWS Config Compliance Reports

3. CloudTrail Audit Logs

4. SSM Automation Remediation History

5. CloudFormation Stack History

Change Management and Version Control

Git-Based Configuration Management

Sample Audit Testing Procedures

Test 1: Verify IAM Password Policy (SOC2 CC6.1.2, HIPAA § 164.308(a)(5)(i)(D))

Test 2: Verify Encryption at Rest (SOC2 CC6.6.1, HIPAA § 164.312(a)(2)(iv), PCI Req 3.5)

Test 3: Verify Audit Log Retention (SOC2 CC6.7.2, HIPAA § 164.312(b), PCI Req 10.4.1)

Evidence Retention and S3 Lifecycle Policies

Overview

Retention Requirements by Framework

S3 Lifecycle Policy Configuration

Checking S3 Lifecycle Policies (Auditor Instructions)

Lifecycle Policy Examples by Compliance Framework

SOC2 Lifecycle Policy (2-Year Retention)

HIPAA Lifecycle Policy (6-Year Retention)

PCI-DSS Lifecycle Policy (1-Year Retention, 90-Day Immediate Access)

Verifying Log File Existence (Sampling)

Auditor Evidence Checklist for Retention

Cost Optimization vs. Compliance

GDPR Storage Limitation (Article 5(1)(e))

Test 4: Verify MFA Enforcement (SOC2 CC6.1.2, HIPAA § 164.312(d), PCI Req 8.3.1)

Test 5: Verify Remediation Effectiveness (SOC2 CC7.2.3)

Guidance for Auditors: Management Letter Language

Deficiency Report Guidance for Out-of-Scope Controls

Example 1: Organizational Policies (SOC2, PCI-DSS, HIPAA, GDPR)

Example 2: Application-Level Controls (PCI-DSS Req 3-4)

Example 3: Data Subject Rights (GDPR Art 15-22)

Example 4: Third-Party Testing (PCI-DSS Req 11)

GDPR Data Subject Rights and Privacy Guidance

Overview for Auditors

What CloudForge CI Provides (GDPR Technical Foundation)

What Requires Business Process Implementation

Evidence Retention for DSR and Breach Notification

Auditor Testing for GDPR DSR Compliance

Limitations and Gaps

Controls NOT Implemented

SOC2:

HIPAA:

PCI-DSS:

GDPR:

Auditor Checklist

Pre-Audit

Infrastructure Review

Control Testing

Evidence Collection

Organizational Controls (Out of Scope)

Final Report