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SOC 2 control support and evidence

A SOC 2 examination evaluates an organization's controls and, for Type II, their operation over a period of time. LLM-Shield-Proxy can provide technical controls and evidence for an auditor to evaluate. It does not make a service SOC 2 compliant.

Logical access (CC6.1)​

The proxy can map a virtual key to a configured role and apply that role on supported request paths. OPA, Vault, and local policy resolvers have different cache and failure behavior. Operators should test unknown identities, resolver outages, stale policy, revocation, and routing bypasses.

The /v1/mcp route applies policy to a limited JSON-RPC method set. It is not a complete MCP transport. Empty allowlists deny all tools by default; blocklist-only behavior requires an explicit setting and permits every tool not listed.

Boundary protection (CC6.6)​

The proxy can transform detected values before the configured upstream request is built. Note that name (PERSON) redaction requires a loaded ONNX NER model and is otherwise inactive. The HTTP conformance profile checks its own declared fixtures at that boundary. A pass is not a claim about all data, detector recall, other destinations, or network isolation.

Supported outbound URL paths can also apply SSRF and DNS-rebinding checks. The protection depends on routing every relevant request through those paths and on the configured allow and deny rules.

Monitoring and evidence (CC7.2)​

  • Audit records can use SHA-256 predecessor links and Ed25519 signatures. Verification detects changes within the supplied chain but does not prove complete capture or immutable storage.
  • OpenTelemetry and Prometheus provide operational signals. Sampling, queue pressure, exporter failures, retention, and alert delivery can create gaps.
  • The canary, watermark, and agent-loop features are heuristic research controls. A marker is a correlation signal, not proof of who disclosed content. A repeated-call threshold is not a general detector for unsafe agent behavior.

Use durable audit delivery and external retention where the evidence requirements call for them. See the compliance evidence boundaries before mapping these features to controls.