Audit & Compliance

Field	Value
Document ID	ASCEND-SEC-002
Version	1.0.0
Last Updated	December 19, 2025
Author	Ascend Engineering Team
Publisher	OW-KAI Technologies Inc.
Classification	Enterprise Client Documentation
Compliance	SOC 2 CC6.1/CC6.2, PCI-DSS 7.1/8.3, HIPAA 164.312, NIST 800-53 AC-2/SI-4

Reading Time: 10 minutes | Skill Level: Advanced

Overview

ASCEND provides enterprise-grade security audit logging with compliance framework mapping. All security events are logged with immutable hash-chaining, supporting SOC 2, HIPAA, PCI-DSS, GDPR, and NIST requirements.

Compliance Frameworks

Supported Standards

Framework	Coverage	Audit Support
SOC 2 Type II	CC1-CC9	Full
HIPAA	Security Rule	Full
PCI-DSS v4.0	Requirements 1-12	Full
GDPR	Articles 5, 17, 25, 32	Full
NIST SP 800-53	AC, AU, IA, SC	Full
ISO 27001	A.5-A.18	Partial

SOC 2 Mapping

Common Criteria

Criteria	Description	ASCEND Implementation
CC6.1	Logical access controls	RBAC + MFA + Session management
CC6.2	Access credentials	API keys + JWT + Token rotation
CC6.3	Access removal	Key revocation + Session termination
CC6.7	Data protection	Encryption + Tokenization
CC7.2	Incident response	Kill-switch + Alerting
CC7.3	Anomaly monitoring	ML detection + Audit logging

Audit Events for SOC 2

{
  "event_type": "USER_ACTION",
  "actor_id": "admin@company.com",
  "resource_type": "AGENT",
  "action": "UPDATE",
  "outcome": "SUCCESS",
  "compliance_tags": ["SOC2_CC6.1", "SOC2_CC6.7"],
  "timestamp": "2025-12-15T10:30:00Z"
}

HIPAA Mapping

Security Rule Requirements

Section	Requirement	Implementation
164.312(a)(1)	Access control	RBAC + Multi-tenancy
164.312(a)(2)(i)	Unique user ID	User authentication
164.312(a)(2)(iii)	Auto logoff	Session timeout
164.312(a)(2)(iv)	Encryption	AES-256 + TLS 1.3
164.312(b)	Audit controls	Immutable logging
164.312(c)(1)	Integrity	Hash-chaining
164.312(d)	Authentication	MFA + Cognito
164.312(e)(1)	Transmission security	TLS 1.3

PHI Protection

# PHI-specific audit logging
{
    "event_type": "PHI_ACCESS",
    "actor_id": "user@healthcare.com",
    "resource_type": "PATIENT_DATA",
    "action": "READ",
    "compliance_tags": ["HIPAA_164.312(b)", "PHI_ACCESS"],
    "minimum_necessary": True,
    "access_reason": "Treatment"
}

PCI-DSS Mapping

Requirements Coverage

Requirement	Description	Implementation
3.4	Data at rest	AES-256 encryption
3.5	Key management	AWS KMS + rotation
4.1	Data in transit	TLS 1.3
7.1	Need-to-know access	RBAC + RLS
8.1.6	Account lockout	Exponential backoff
8.1.8	Session management	Token rotation
10.1	Audit trails	Immutable logging
10.2	Event logging	All actions logged
10.3	Audit trail content	Full context
10.5	Audit trail security	Hash-chaining

Cardholder Data Protection

# PCI-DSS compliant logging (no CHD in logs)
{
    "event_type": "TRANSACTION",
    "actor_id": "payment-agent-001",
    "resource_type": "PAYMENT",
    "action": "PROCESS",
    "outcome": "SUCCESS",
    "compliance_tags": ["PCI_DSS_10.2", "PCI_DSS_10.3"],
    "card_last_four": "****",  # Masked
    "transaction_id": "txn_abc123"
}

NIST SP 800-53 Mapping

Control Families

Family	Controls	Implementation
AC (Access Control)	AC-2, AC-3, AC-7, AC-12	RBAC, lockout, sessions
AU (Audit)	AU-2, AU-3, AU-6, AU-9	Immutable logging
IA (Identification)	IA-2, IA-5, IA-8	MFA, credentials
SC (System Protection)	SC-8, SC-13, SC-28	Encryption, TLS

Control Implementation

# NIST control tagging
{
    "event_type": "AUTH_FAILURE",
    "nist_controls": ["AC-7", "AU-2", "IA-5"],
    "risk_level": "medium",
    "failed_attempts": 3,
    "lockout_triggered": False
}

Security Event Types

Event Categories

Category	Event Types	Compliance
Authentication	LOGIN, LOGOUT, MFA_VERIFY, AUTH_FAILURE	All frameworks
Authorization	ACCESS_GRANTED, ACCESS_DENIED, ROLE_CHANGE	SOC2, NIST
Data Access	DATA_READ, DATA_WRITE, DATA_DELETE	HIPAA, PCI
Configuration	CONFIG_CHANGE, POLICY_UPDATE	SOC2, NIST
Security	ANOMALY_DETECTED, LOCKOUT, KILL_SWITCH	All frameworks

Event Structure

# Source: security/enterprise_security.py:693
def log_security_event(
    event_type: str,
    user_id: Optional[int],
    org_id: Optional[int],
    details: Dict[str, Any],
    risk_level: str = "medium",
    ip_address: Optional[str] = None
) -> None:
    """Log a security event for audit trail."""

    log_entry = {
        "event_type": event_type,
        "user_id": user_id,
        "organization_id": org_id,
        "risk_level": risk_level,
        "ip_address": ip_address,
        "timestamp": datetime.now(UTC).isoformat(),
        "details": details
    }

Compliance Export

Generate Compliance Report

curl -X POST "https://pilot.owkai.app/api/compliance-export/exports" \
  -H "Authorization: Bearer <admin_jwt>" \
  -d '{
    "framework": "soc2",
    "report_type": "audit_trail",
    "export_format": "pdf",
    "start_date": "2025-10-01T00:00:00Z",
    "end_date": "2025-12-31T23:59:59Z"
  }'

Framework-Specific Reports

# SOC 2 audit trail
curl "https://pilot.owkai.app/api/compliance-export/quick-export/soc2/audit_trail?days=90"

# HIPAA access log
curl "https://pilot.owkai.app/api/compliance-export/quick-export/hipaa/access_log?days=90"

# PCI-DSS policy changes
curl "https://pilot.owkai.app/api/compliance-export/quick-export/pci_dss/policy_changes?days=90"

Audit Trail Integrity

Hash-Chaining Verification

curl -X POST "https://pilot.owkai.app/api/audit/verify-integrity" \
  -H "Authorization: Bearer <admin_jwt>"

Response:

{
  "status": "VALID",
  "total_records": 10045,
  "check_duration_ms": 2450,
  "records_per_second": 4100,
  "chain_intact": true
}

Integrity Check Schedule

# Recommended verification schedule
INTEGRITY_CHECKS = {
    "daily": "Basic chain validation",
    "weekly": "Full hash verification",
    "monthly": "Comprehensive audit report",
    "quarterly": "External auditor export"
}

Evidence Packs

Create Evidence Pack for Audit

curl -X POST "https://pilot.owkai.app/api/audit/evidence-packs" \
  -H "Authorization: Bearer <admin_jwt>" \
  -d '{
    "title": "SOC 2 Type II Audit 2025",
    "description": "Annual SOC 2 audit evidence",
    "case_number": "SOC2-2025-001",
    "start_time": "2025-01-01T00:00:00Z",
    "end_time": "2025-12-31T23:59:59Z",
    "compliance_frameworks": ["soc2"]
  }'

Evidence Pack Contents

{
  "id": "evp_abc123",
  "title": "SOC 2 Type II Audit 2025",
  "status": "ACTIVE",
  "manifest_hash": "a1b2c3d4...",
  "contents": {
    "audit_logs": 125000,
    "access_logs": 45000,
    "policy_changes": 234,
    "security_events": 1500
  },
  "integrity_verified": true
}

Compliance Dashboard

Get Compliance Status

curl "https://pilot.owkai.app/api/compliance-export/metrics" \
  -H "Authorization: Bearer <admin_jwt>"

Response:

{
  "compliance_status": {
    "soc2": {
      "score": 98.5,
      "controls_met": 45,
      "controls_total": 46,
      "last_audit": "2025-11-01"
    },
    "hipaa": {
      "score": 97.2,
      "controls_met": 42,
      "controls_total": 44,
      "last_audit": "2025-10-15"
    },
    "pci_dss": {
      "score": 99.1,
      "controls_met": 78,
      "controls_total": 79,
      "last_audit": "2025-09-20"
    }
  },
  "audit_health": {
    "chain_integrity": "VALID",
    "total_events": 125000,
    "retention_compliance": true
  }
}

Best Practices

1. Tag All Events with Compliance Frameworks

{
    "compliance_tags": ["SOC2_CC6.1", "HIPAA_164.312(b)", "PCI_10.2"]
}

2. Regular Integrity Verification

# Daily automated verification
schedule.every().day.at("02:00").do(verify_audit_integrity)

3. Maintain Evidence Packs

# Create evidence packs for each audit period
{
    "quarterly_evidence": True,
    "annual_audit_pack": True
}

4. Retention Policy Compliance

# Apply longest applicable retention
RETENTION_PERIODS = {
    'SOX': 2555,     # 7 years
    'HIPAA': 2190,   # 6 years
    'PCI': 365       # 1 year
}

Next Steps

• Audit Logging — Detailed logging
• Compliance Export — Export features
• Data Protection — Data protection controls

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Document Version: 1.0.0 | Last Updated: December 2025