ProofGuard AI

Security, Compliance & SOC 2 Alignment Statement

ProofGuard AI maintains a security and compliance program designed to align with the Trust Services Criteria defined by the AICPA SOC 2 framework, including Security, Availability, Confidentiality, and Processing Integrity.

This program is designed to protect client data, ensure system reliability, and support secure delivery of AI-driven legal technology and operational services.

1. Security Governance

ProofGuard AI implements administrative, technical, and organizational controls to protect systems and data, including:

• defined access control policies

• role-based permissions (least privilege)

• multi-factor authentication for system access

• continuous monitoring of systems and activity logs

All access to client environments is controlled, tracked, and restricted to authorized personnel only.

2. Data Protection & Confidentiality

• Client data is processed strictly under contractual agreements

• Confidential data is segregated and access-controlled

• Encryption is applied in transit (TLS) and at rest where applicable

• Sensitive legal and operational data is never used for generalized AI training without explicit authorization

ProofGuard AI treats all client data as confidential and implements safeguards consistent with enterprise legal environments.

3. AI System Controls

Given the nature of AI-driven services, ProofGuard AI enforces additional safeguards:

• structured prompt frameworks with validation layers

• guardrails to prevent generation of unsafe or non-compliant outputs

• audit logging of AI interactions where applicable

• human review layers for critical workflows

AI systems are designed as assistive tools and not autonomous decision-makers.

4. Availability & Infrastructure

• systems are hosted on secure, reputable cloud infrastructure providers

• monitoring is in place for uptime, performance, and anomalies

• redundancy and failover strategies are implemented where applicable

• incident response procedures exist for service disruptions

5. Change Management

All system and workflow changes follow controlled processes:

• testing before deployment

• version control and rollback capability

• documentation of changes

• restricted production access

6. Incident Response

ProofGuard AI maintains an incident response process that includes:

• identification and classification of security incidents

• containment and mitigation procedures

• internal escalation protocols

• post-incident review and remediation

7. Vendor & Third-Party Management

We evaluate third-party providers for security and reliability, including:

• cloud infrastructure vendors

• analytics and monitoring tools

• communication and CRM systems

Third-party access is limited and governed by contractual and security requirements.

8. Employee Security Practices

• personnel are trained on data security and confidentiality

• access is granted based on role necessity

• access is revoked immediately upon termination

• confidentiality obligations are enforced through agreements

9. Data Retention & Disposal

• data is retained only as necessary for business and legal purposes

• secure deletion procedures are implemented when data is no longer required

• client data handling follows contractual obligations

10. Compliance Roadmap

ProofGuard AI is actively aligning its internal controls and documentation to support formal SOC 2 Type I and Type II certification.

This includes:

• formal policy documentation

• control testing and monitoring

• audit readiness preparation