| AST-1 |
Asset disposal procedures utilizedThe company has electronic media containing confidential information purged or destroyed in accordance with best practices, and certificates of destruction are issued for each device destroyed. |
Asset Management |
| AST-2 |
Data retention procedures establishedThe company has formal retention and disposal procedures in place to guide the secure retention and disposal of company and customer data. |
Asset Management |
| AST-3 |
Production inventory maintainedThe company maintains a formal inventory of production system assets. |
Asset Management |
| BCD-1 |
Continuity and Disaster Recovery plans establishedThe company has Business Continuity and Disaster Recovery Plans in place that outline communication plans in order to maintain information security continuity in the event of the unavailability of key personnel. |
Business Continuity & Disaster Recovery |
| BCD-2 |
Continuity and Disaster Recovery plans testedThe company has a documented Business Continuity/Disaster Recovery (BC/DR) plan and tests it at least annually. |
Business Continuity & Disaster Recovery |
| CFG-1 |
Configuration management system establishedThe company has a configuration management procedure in place to ensure that system configurations are deployed consistently throughout the environment. |
Configuration Management |
| CHG-1 |
Change management procedures enforcedThe company requires changes to software and infrastructure components of the service to be authorized, formally documented, tested, reviewed, and approved prior to being implemented in the production environment. |
Change Management |
| CHG-2 |
Production deployment access restrictedThe company restricts access to migrate changes to production to authorized personnel. |
Change Management |
| CHG-3 |
Development lifecycle establishedThe company has a formal systems development life cycle (SDLC) methodology in place that governs the development, acquisition, implementation, changes (including emergency changes), and maintenance of information systems |
Change Management |
| CPL-1 |
SOC 2 - System DescriptionComplete a description of your system for Section III of the audit report |
Compliance |
| CPL-2 |
Whistleblower policy establishedThe company has established a formalized whistleblower policy, and an anonymous communication channel is in place for users to report potential issues or fraud concerns. |
Compliance |
| CRY-1 |
Unique production database authentication enforcedThe company requires authentication to production datastores to use authorized secure authentication mechanisms, such as unique SSH key. |
Cryptographic Protections |
| CRY-2 |
Encryption key access restrictedThe company restricts privileged access to encryption keys to authorized users with a business need. |
Cryptographic Protections |
| CRY-3 |
Portable media encryptedThe company encrypts portable and removable media devices when used. |
Cryptographic Protections |
| CRY-4 |
Data encryption utilizedThe company's datastores housing sensitive customer data are encrypted at rest. |
Cryptographic Protections |
| CRY-5 |
Unique account authentication enforcedThe company requires authentication to systems and applications to use unique username and password or authorized Secure Socket Shell (SSH) keys. |
Cryptographic Protections |
| DCH-1 |
Customer data deleted upon leavingThe company purges or removes customer data containing confidential information from the application environment, in accordance with best practices, when customers leave the service. |
Data Classification & Handling |
| DCH-5 |
Data classification policy establishedThe company has a data classification policy in place to help ensure that confidential data is properly secured and restricted to authorized personnel. |
Data Classification & Handling |
| END-1 |
Anti-malware technology utilizedThe company deploys anti-malware technology to environments commonly susceptible to malicious attacks and configures this to be updated routinely, logged, and installed on all relevant systems. |
Endpoint Security |
| GOV-1 |
Board oversight briefings conductedThe company's board of directors or a relevant subcommittee is briefed by senior management at least annually on the state of the company's cybersecurity and privacy risk. The board provides feedback and direction to man |
Security & Privacy Governance |
| GOV-10 |
Roles and responsibilities specifiedRoles and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of information security controls are formally assigned in job descriptions and/or the Roles and Responsibilit |
Security & Privacy Governance |
| GOV-11 |
Security policies established and reviewedThe company's information security policies and procedures are documented and reviewed at least annually. |
Security & Privacy Governance |
| GOV-12 |
Support system availableThe company has an external-facing support system in place that allows users to report system information on failures, incidents, concerns, and other complaints to appropriate personnel. |
Security & Privacy Governance |
| GOV-13 |
System changes communicatedThe company communicates system changes to authorized internal users. |
Security & Privacy Governance |
| GOV-2 |
Board charter documentedThe company's board of directors has a documented charter that outlines its oversight responsibilities for internal control. |
Security & Privacy Governance |
| GOV-3 |
Board expertise developedThe company's board members have sufficient expertise to oversee management's ability to design, implement and operate information security controls. The board engages third-party information security experts and consult |
Security & Privacy Governance |
| GOV-4 |
Board meetings conductedThe company's board of directors meets at least annually and maintains formal meeting minutes. The board includes directors that are independent of the company. |
Security & Privacy Governance |
| GOV-5 |
Backup processes establishedThe company's data backup policy documents requirements for backup and recovery of customer data. |
Security & Privacy Governance |
| GOV-6 |
System changes externally communicatedThe company notifies customers of critical system changes that may affect their processing. |
Security & Privacy Governance |
| GOV-7 |
Management roles and responsibilities definedThe company management has established defined roles and responsibilities to oversee the design and implementation of information security controls. |
Security & Privacy Governance |
| GOV-8 |
Organization structure documentedThe company maintains an organizational chart that describes the organizational structure and reporting lines. |
Security & Privacy Governance |
| HRS-1 |
Employee background checks performedThe company performs background checks on new employees. |
Human Resources Security |
| HRS-2 |
Code of Conduct acknowledged by contractorsThe company requires contractor agreements to include a code of conduct or reference to the company code of conduct. |
Human Resources Security |
| HRS-3 |
Code of Conduct acknowledged by employees and enforcedThe company requires employees to acknowledge a code of conduct at the time of hire. Employees who violate the code of conduct are subject to disciplinary actions in accordance with a disciplinary policy. |
Human Resources Security |
| HRS-4 |
Confidentiality Agreement acknowledged by contractorsThe company requires contractors to sign a confidentiality agreement at the time of engagement. |
Human Resources Security |
| HRS-5 |
Confidentiality Agreement acknowledged by employeesThe company requires employees to sign a confidentiality agreement during onboarding. |
Human Resources Security |
| HRS-6 |
Performance evaluations conductedThe company managers are required to complete performance evaluations for direct reports at least annually. |
Human Resources Security |
| IAC-1 |
Production application access restrictedSystem access restricted to authorized access only |
Identification & Authentication |
| IAC-10 |
Unique network system authentication enforcedThe company requires authentication to the "production network" to use unique usernames and passwords or authorized Secure Socket Shell (SSH) keys. |
Identification & Authentication |
| IAC-11 |
Password policy enforcedThe company requires passwords for in-scope system components to be configured according to the company's policy. |
Identification & Authentication |
| IAC-12 |
Remote access MFA enforcedThe company's production systems can only be remotely accessed by authorized employees possessing a valid multi-factor authentication (MFA) method. |
Identification & Authentication |
| IAC-13 |
Remote access encrypted enforcedThe company's production systems can only be remotely accessed by authorized employees via an approved encrypted connection. |
Identification & Authentication |
| IAC-2 |
Access control procedures establishedThe company's access control policy documents the requirements for the following access control functions:
- adding new users;
- modifying users; and/or
- removing an existing user's access. |
Identification & Authentication |
| IAC-3 |
Production database access restrictedThe company restricts privileged access to databases to authorized users with a business need. |
Identification & Authentication |
| IAC-4 |
Firewall access restrictedThe company restricts privileged access to the firewall to authorized users with a business need. |
Identification & Authentication |
| IAC-5 |
Production OS access restrictedThe company restricts privileged access to the operating system to authorized users with a business need. |
Identification & Authentication |
| IAC-6 |
Production network access restrictedThe company restricts privileged access to the production network to authorized users with a business need. |
Identification & Authentication |
| IAC-7 |
Access reviews conductedThe company conducts access reviews at least quarterly for the in-scope system components to help ensure that access is restricted appropriately. Required changes are tracked to completion. |
Identification & Authentication |
| IAC-8 |
Access revoked upon terminationThe company completes termination checklists to ensure that access is revoked for terminated employees within SLAs. |
Identification & Authentication |
| IAC-9 |
Access requests requiredThe company ensures that user access to in-scope system components is based on job role and function or requires a documented access request form and manager approval prior to access being provisioned. |
Identification & Authentication |
| IAO-1 |
Control self-assessments conductedThe company performs control self-assessments at least annually to gain assurance that controls are in place and operating effectively. Corrective actions are taken based on relevant findings. If the company has committe |
Information Assurance |
| IAO-2 |
Penetration testing performedThe company's penetration testing is performed at least annually. A remediation plan is developed and changes are implemented to remediate vulnerabilities in accordance with SLAs. |
Information Assurance |
| IRO-1 |
Incident response plan testedThe company tests their incident response plan at least annually. |
Incident Response |
| IRO-2 |
Incident response policies establishedThe company has security and privacy incident response policies and procedures that are documented and communicated to authorized users. |
Incident Response |
| IRO-3 |
Incident management procedures followedThe company's security and privacy incidents are logged, tracked, resolved, and communicated to affected or relevant parties by management according to the company's security incident response policy and procedures. |
Incident Response |
| MDM-1 |
MDM system utilizedThe company has a mobile device management (MDM) system in place to centrally manage mobile devices supporting the service. |
Mobile Device Management |
| MON-1 |
Intrusion detection system utilizedThe company uses an intrusion detection system to provide continuous monitoring of the company's network and early detection of potential security breaches. |
Continuous Monitoring |
| MON-2 |
Log management utilizedThe company utilizes a log management tool to identify events that may have a potential impact on the company's ability to achieve its security objectives. |
Continuous Monitoring |
| MON-4 |
Infrastructure performance monitoredAn infrastructure monitoring tool is utilized to monitor systems, infrastructure, and performance and generates alerts when specific predefined thresholds are met. |
Continuous Monitoring |
| NET-1 |
Data transmission encryptedThe company uses secure data transmission protocols to encrypt confidential and sensitive data when transmitted over public networks. |
Network Security |
| NET-2 |
Network segmentation implementedThe company's network is segmented to prevent unauthorized access to customer data. |
Network Security |
| NET-3 |
Network firewalls reviewedThe company reviews its firewall rulesets at least annually. Required changes are tracked to completion. |
Network Security |
| NET-4 |
Network firewalls utilizedThe company uses firewalls and configures them to prevent unauthorized access. |
Network Security |
| NET-5 |
Network and system hardening standards maintainedThe company's network and system hardening standards are documented, based on industry best practices, and reviewed at least annually. |
Network Security |
| OPS-1 |
Vulnerability and system monitoring procedures establishedThe company's formal policies outline the requirements for the following functions related to IT / Engineering:
- vulnerability management;
- system monitoring. |
Security Operations |
| PES-1 |
Physical access processes establishedThe company has processes in place for granting, changing, and terminating physical access to company data centers based on an authorization from control owners. |
Physical & Environmental Security |
| PES-2 |
Data center access reviewedThe company reviews access to the data centers at least annually. |
Physical & Environmental Security |
| PES-3 |
Visitor procedures enforcedThe company requires visitors to sign-in, wear a visitor badge, and be escorted by an authorized employee when accessing the data center or secure areas. |
Physical & Environmental Security |
| PRM-1 |
Company commitments externally communicatedThe company's security commitments are communicated to customers in Master Service Agreements (MSA) or Terms of Service (TOS). |
Project & Resource Management |
| PRM-2 |
External support resources availableThe company provides guidelines and technical support resources relating to system operations to customers. |
Project & Resource Management |
| PRM-3 |
Service description communicatedThe company provides a description of its products and services to internal and external users. |
Project & Resource Management |
| RSK-1 |
Risk assessment objectives specifiedThe company specifies its objectives to enable the identification and assessment of risk related to the objectives. |
Risk Management |
| RSK-2 |
Risks assessments performedThe company's risk assessments are performed at least annually. As part of this process, threats and changes (environmental, regulatory, and technological) to service commitments are identified and the risks are formally |
Risk Management |
| RSK-3 |
Risk management program establishedThe company has a documented risk management program in place that includes guidance on the identification of potential threats, rating the significance of the risks associated with the identified threats, and mitigation |
Risk Management |
| SAT-1 |
Security awareness training implementedThe company requires employees to complete security awareness training within thirty days of hire and at least annually thereafter. |
Security Awareness & Training |
| TPM-1 |
Third-party agreements establishedThe company has written agreements in place with vendors and related third-parties. These agreements include confidentiality and privacy commitments applicable to that entity. |
Third-Party Management |
| TPM-2 |
Vendor management program establishedThe company has a vendor management program in place. Components of this program include:
- critical third-party vendor inventory;
- vendor's security and privacy requirements; and
- review of critical third-party ven |
Third-Party Management |
| VPM-1 |
Service infrastructure maintainedThe company has infrastructure supporting the service patched as a part of routine maintenance and as a result of identified vulnerabilities to help ensure that servers supporting the service are hardened against securit |
Vulnerability & Patch Management |
| VPM-2 |
Vulnerabilities scanned and remediatedHost-based vulnerability scans are performed at least quarterly on all external-facing systems. Critical and high vulnerabilities are tracked to remediation. |
Vulnerability & Patch Management |
