Service Organization Control (SOC) Report
For Casey Logistics Inc.
Reporting Period: October 2, 2024, to January 2, 2025
Prepared By: Jay W. Casey
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1. Executive Summary

Casey Logistics Inc. is a logistics and supply chain management company, specializing in warehouse operations, destruction services, storage solutions and transportation management services. This Service Organization Control (SOC) Report provides an independent assessment of the controls relevant to the services Casey Logistics Inc. provides to its clients. The report is designed to provide assurance to customers, regulators, and stakeholders regarding the effectiveness of these controls.

2. Scope of the Report

System Description: This report evaluates Casey Logistics Inc.’s operational, information security, and compliance controls as they relate to the following:

• Storage solutions
• Warehouse management systems (WMS)
• Transportation management systems (TMS)
• Destruction services

Trust Service Categories: The assessment covers the following trust service criteria:

• Security
• Availability
• Confidentiality
• Processing Integrity (if applicable)

Exclusions: The report does not cover:

• Client-side controls
• Services provided by subcontractors not under the direct control of Casey Logistics Inc.

3. Independent Auditor’s Opinion

Based on the procedures performed and evidence obtained, we have concluded that Casey Logistics Inc.’s controls, as described in this report, were suitably designed and operated effectively throughout the reporting period to meet the applicable trust service criteria.

4. System Description

4.1 Overview of Casey Logistics Inc. Casey Logistics Inc. provides supply chain solutions to a diverse range of industries. Its key service
offerings include:

• Freight coordination and optimization
• Real-time shipment tracking
• Custom warehouse solutions

4.2 Supporting Systems Key systems and tools used to deliver these services include:

• A proprietary warehouse management system (WMS)
• A cloud-based transportation management platform (TMS)
• Integration with client enterprise resource planning (ERP) systems

4.3 Control Environment Casey Logistics Inc. maintains a robust control environment that includes:

• Defined roles and responsibilities for employees
• Secure software development practices
• Policies for data protection and information security

5. Control Objectives and Tests of Controls

5.1 Security Controls

• Objective: Prevent unauthorized access to systems and data.
• Key Controls: Multi-factor authentication (MFA), role-based access controls, firewall configurations.
• Testing: Verified through log reviews and penetration testing results.

5.2 Availability Controls

• Objective: Ensure systems are operational and available as per client expectations.
• Key Controls: Redundant infrastructure, disaster recovery plans, and uptime monitoring.
• Testing: Evaluated through system uptime reports and failover tests.

5.3 Confidentiality Controls

• Objective: Protect client and customer data from unauthorized disclosure.
• Key Controls: Encryption of data in transit and at rest, data classification policies.
• Testing: Inspected encryption certificates and compliance with confidentiality agreements.

6. Results of Testing

The controls tested were found to be appropriately designed and operating effectively during the reporting period. The following are key highlights:

• Security: No significant exceptions were noted in the implementation of security controls.
• Availability: All tested systems met availability thresholds with no downtime beyond acceptable limits.
• Confidentiality: Data handling practices were consistent with stated policies, and no unauthorized disclosures were identified.

7. Management’s Assertion

Management asserts that the controls as described in this report are accurate and have been implemented as intended. Casey Logistics Inc. is committed to continuous improvement and regularly reviews and enhances its control framework.

8. Appendices

Appendix A: Control Matrix

• Mapping of control objectives to trust service criteria.
Appendix B: Testing Methodology
• Details on the sampling methods and procedures used.
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End of Report