Compliance Overview
DocuStack is designed from the ground up to meet the compliance requirements of multiple regulated industries. The platform processes sensitive data through secure, auditable workflows with defense-in-depth security controls.
Target Industries
| Industry | Primary Frameworks | Data Types |
|---|---|---|
| Healthcare | HIPAA, HITECH, SOC 2 | PHI, medical records, claims |
| Financial Services | SOC 2, GLBA, SOX, PCI DSS | Financial records, PII, cardholder data |
| Insurance | SOC 2, State regulations | Policy data, claims, underwriting |
| Legal | SOC 2, Bar regulations | Privileged communications, case files |
| Government | FedRAMP, FISMA, SOC 2 | Controlled unclassified information |
Compliance Scope
| Framework | Status | Scope | Industries |
|---|---|---|---|
| SOC 2 Type II | Ready | Security, Availability, Confidentiality | All |
| HIPAA Security Rule | Compliant | PHI processing, storage, transmission | Healthcare |
| PCI DSS | Ready | Cardholder data protection | Financial, Insurance |
| GLBA | Ready | Customer financial information | Financial |
| SOX | Ready | Financial data integrity | Public companies |
| HITRUST CSF | Planned | Comprehensive security framework | Healthcare, Enterprise |
| FedRAMP | Planned | Federal cloud security | Government |
Shared Responsibility Model
┌─────────────────────────────────────────────────────────────────────────────┐
│ Shared Responsibility Model │
├─────────────────────────────────────────────────────────────────────────────┤
│ │
│ DocuStack Responsibility │
│ ───────────────────────── │
│ • Application security and secure coding practices │
│ • Identity and access management configuration │
│ • Data encryption configuration (KMS keys, TLS) │
│ • Network security (VPCs, security groups, NACLs) │
│ • Logging and monitoring configuration │
│ • Incident response procedures │
│ • Business continuity planning │
│ • Workforce training and awareness │
│ • Vendor management (BAAs with subprocessors) │
│ │
│ AWS Responsibility │
│ ────────────────── │
│ • Physical security of data centers │
│ • Hardware and infrastructure maintenance │
│ • Network infrastructure security │
│ • Hypervisor and virtualization security │
│ • AWS service security (S3, RDS, ECS, etc.) │
│ • Compliance certifications (SOC 2, HIPAA, etc.) │
│ • AWS BAA coverage for HIPAA-eligible services │
│ │
└─────────────────────────────────────────────────────────────────────────────┘
Key Compliance Features
| Feature | Implementation | Benefit |
|---|---|---|
| Multi-account isolation | AWS Organizations | Environment separation, blast radius reduction |
| Preventive controls | Service Control Policies | Enforce compliance at AWS API level |
| Detective controls | AWS Config Rules | Continuous compliance monitoring |
| Encryption everywhere | KMS + TLS 1.2+ | Data protection at rest and in transit |
| Zero-trust networking | Private subnets + VPC endpoints | No public internet exposure |
| Centralized logging | CloudTrail + VPC Flow Logs | Complete audit trail |
| Immutable audit logs | Log Archive account + SCPs | Tamper-proof evidence |
Control Mapping
DocuStack implements controls that satisfy multiple regulatory frameworks:
| Control Area | SOC 2 | HIPAA | PCI DSS | GLBA |
|---|---|---|---|---|
| Encryption at rest | CC6.1 | §164.312(a)(2)(iv) | Req 3.4 | §501(b) |
| Encryption in transit | CC6.1 | §164.312(e)(1) | Req 4.1 | §501(b) |
| Audit logging | CC7.2 | §164.312(b) | Req 10 | §501(b) |
| Access management | CC6.2 | §164.308(a)(5)(ii)(B) | Req 7 | §501(b) |
| Backup & recovery | A1.2 | §164.308(a)(7) | Req 12.10 | §501(b) |
Compliance Documentation
| Document | Description |
|---|---|
| HIPAA Security Rule | Detailed HIPAA safeguard mappings |
| SOC 2 Trust Services | SOC 2 criteria implementation |
| Technical Controls | AWS Config, SCPs, encryption |
Audit Procedures
Continuous Monitoring
| Tool | Purpose | Alert Threshold |
|---|---|---|
| AWS Config | Configuration compliance | Any non-compliant resource |
| Security Hub | Security findings aggregation | Medium+ severity |
| GuardDuty | Threat detection | All findings |
| CloudWatch | Operational metrics | Custom thresholds |
| CloudTrail | API activity monitoring | Specific events |
Periodic Audits
| Audit Type | Frequency | Scope |
|---|---|---|
| Access Review | Quarterly | All user access privileges |
| Vulnerability Scan | Monthly | All infrastructure |
| Penetration Test | Annual | External and internal |
| Risk Assessment | Annual | Full security program |
| Compliance Audit | Annual | HIPAA, SOC 2 |
| DR Test | Annual | Full DR procedures |
Incident Response
Severity Classification
| Severity | Description | Response Time | Examples |
|---|---|---|---|
| Critical | Active breach, PHI exposure | 15 minutes | Data exfiltration, ransomware |
| High | Potential breach, system compromise | 1 hour | Unauthorized access, malware |
| Medium | Security policy violation | 4 hours | Failed login attempts, misconfig |
| Low | Minor security event | 24 hours | Phishing attempt, policy question |
Breach Notification Requirements
| Requirement | Timeline | Recipient |
|---|---|---|
| Internal escalation | Immediate | Security team, management |
| Customer notification | Max 60 days | Affected individuals |
| HHS notification | 60 days (>500 individuals) | HHS Secretary |
| Media notification | 60 days (>500 in state) | Prominent media outlets |
Business Continuity
Recovery Objectives
| Metric | Target | Implementation |
|---|---|---|
| RTO (Recovery Time Objective) | 4 hours | Multi-AZ, automated recovery |
| RPO (Recovery Point Objective) | 1 hour | Continuous replication, hourly backups |
Backup Strategy
| Resource | Backup Method | Frequency | Retention |
|---|---|---|---|
| RDS PostgreSQL | Automated snapshots | Daily | 7 days (35 days prod) |
| RDS PostgreSQL | Transaction logs | Continuous | 7 days |
| S3 Documents | Versioning | Continuous | Indefinite |
| S3 Documents | Cross-region replication | Continuous | Same as source |
| Terraform State | S3 versioning | On change | 30 versions |