Section Heading

Control Heading

Original ID

Question Text

Answer

Notes/Comment

Application & Interface Security

Application Security

AIS-01.2

Do you use an automated source code analysis tool to detect security defects in code prior to production?

Yes

AIS-01.5

(SaaS only) Do you review your applications for security vulnerabilities and address any issues prior to deployment to production?

Yes

Customer Access Requirements

AIS-02.1

Are all identified security, contractual, and regulatory requirements for customer access contractually addressed and remediated prior to granting customers access to data, assets, and information systems?

Not Applicable

Data Integrity

AIS-03.1

Are data input and output integrity routines (i.e., reconciliation and edit checks) implemented for application interfaces and databases to prevent manual or systematic processing errors or corruption of data?

Yes

Audit Assurance & Compliance

Independent Audits

AAC-02.1

Do you allow tenants to view your SOC2/ISO 27001 or similar third-party audit or certification reports?

Not Applicable

AAC-02.2

Do you conduct network penetration tests of your cloud service infrastructure regularly as prescribed by industry best practices and guidance?

Not Applicable

AAC-02.3

Do you conduct application penetration tests of your cloud infrastructure regularly as prescribed by industry best practices and guidance?

Yes

Information System Regulatory Mapping

AAC-03.1

Do you have the ability to logically segment or encrypt customer data such that data may be produced for a single tenant only, without inadvertently accessing another tenant's data?

Not Applicable

AAC-03.2

Do you have the capability to recover data for a specific customer in the case of a failure or data loss?

Not Applicable

Business Continuity Management & Operational Resilience

Business Continuity Testing

BCR-02.1

Are business continuity plans subject to testing at planned intervals or upon significant organizational or environmental changes to ensure continuing effectiveness?

No

Impact Analysis

BCR-09.1

Do you provide tenants with ongoing visibility and reporting of your operational Service Level Agreement (SLA) performance?

Not Applicable

Policy

BCR-10.1

Are policies and procedures established and made available for all personnel to adequately support services operations' roles?

Yes

Retention Policy

BCR-11.1

Do you have technical control capabilities to enforce tenant data retention policies?

Not Applicable

BCR-11.4

Have you implemented backup or redundancy mechanisms to ensure compliance with regulatory, statutory, contractual or business requirements?

Yes

BCR-11.5

Do you test your backup or redundancy mechanisms at least annually?

Yes

Change Control & Configuration Management

New Development / Acquisition

CCC-01.2

Is documentation available that describes the installation, configuration, and use of products/services/features?

Yes

Unauthorized Software Installations

CCC-04.1

Do you have controls in place to restrict and monitor the installation of unauthorized software onto your systems?

Yes

Data Security & Information Lifecycle Management

E-commerce Transactions

DSI-03.1

Do you provide open encryption methodologies (3.4ES, AES, etc.) to tenants in order for them to protect their data if it is required to move through public networks (e.g., the Internet)?

Yes

DSI-03.2

Do you utilize open encryption methodologies any time your infrastructure components need to communicate with each other via public networks (e.g., Internet-based replication of data from one environment to another)?

Yes

Nonproduction Data

DSI-05.1

Do you have procedures in place to ensure production data shall not be replicated or used in non-production environments?

Yes

Secure Disposal

DSI-07.1

Do you support secure deletion (e.g., degaussing/cryptographic wiping) of archived and backed-up data as determined by the tenant?

Not Applicable

DSI-07.2

Can you provide a published procedure for exiting the service arrangement, including assurance to sanitize all computing resources of tenant data once a customer has exited your environment or has vacated a resource?

Not Applicable

Datacenter Security

Asset Management

DCS-01.1

Do you maintain a complete inventory of all of your critical assets that includes ownership of the asset?

No

Controlled Access Points

DCS-02.1

Are physical security perimeters (e.g., fences, walls, barriers, guards, gates, electronic surveillance, physical authentication mechanisms, reception desks, and security patrols) implemented?

Yes

User Access

DCS-09.1

Do you restrict physical access to information assets and functions by users and support personnel?

Yes

Encryption & Key Management

Key Generation

EKM-02.1

Do you have a capability to allow creation of unique encryption keys per tenant?

Not Applicable

Encryption

EKM-03.1

Do you encrypt tenant data at rest (on disk/storage) within your environment?

Yes

Governance and Risk Management

Baseline Requirements

GRM-01.1

Do you have documented information security baselines for every component of your infrastructure (e.g., hypervisors, operating systems, routers, DNS servers, etc.)?

Not Applicable

Policy

GRM-06.1

Do your information security and privacy policies align with industry standards (ISO-27001, ISO-22307, CoBIT, etc.)?

Yes

Policy Enforcement

GRM-07.1

Is a formal disciplinary or sanction policy established for employees who have violated security policies and procedures?

Not Applicable

Policy Reviews

GRM-09.1

Do you notify your tenants when you make material changes to your information security and/or privacy policies?

Yes

GRM-09.2

Do you perform, at minimum, annual reviews to your privacy and security policies?

Yes

Human Resources

Asset Returns

HRS-01.1

Are systems in place to monitor for privacy breaches and notify tenants expeditiously if a privacy event may have impacted their data?

Yes

Background Screening

HRS-02.1

Pursuant to local laws, regulations, ethics, and contractual constraints, are all employment candidates, contractors, and involved third parties subject to background verification?

Not Applicable

Employment Agreements

HRS-03.1

Do you specifically train your employees regarding their specific role and the information security controls they must fulfill?

Not Applicable

HRS-03.3

Are all personnel required to sign NDA or Confidentiality Agreements as a condition of employment to protect customer/tenant information?

Not Applicable

HRS-03.5

Are personnel trained and provided with awareness programs at least once a year?

Not Applicable

Employment Termination

HRS-04.1

Are documented policies, procedures, and guidelines in place to govern change in employment and/or termination?

Not Applicable

Identity & Access Management

Audit Tools Access

IAM-01.1

Do you restrict, log, and monitor access to your information security management systems (e.g., hypervisors, firewalls, vulnerability scanners, network sniffers, APIs, etc.)?

Not Applicable

IAM-01.2

Do you monitor and log privileged access (e.g., administrator level) to information security management systems?

Not Applicable

User Access Policy

IAM-02.1

Do you have controls in place ensuring timely removal of systems access that is no longer required for business purposes?

Yes

Policies and Procedures

IAM-04.1

Do you manage and store the identity of all personnel who have access to the IT infrastructure, including their level of access?

Yes

Source Code Access Restriction

IAM-06.1

Are controls in place to prevent unauthorized access to your application, program, or object source code, and assure it is restricted to authorized personnel only?

Yes

IAM-06.2

Are controls in place to prevent unauthorized access to tenant application, program, or object source code, and assure it is restricted to authorized personnel only?

Not Applicable

User Access Restriction / Authorization

IAM-08.1

Do you document how you grant and approve access to tenant data?

Not Applicable

User Access Reviews

IAM-10.1

Do you require at least annual certification of entitlements for all system users and administrators (exclusive of users maintained by your tenants)?

Not Applicable

User Access Revocation

IAM-11.1

Is timely deprovisioning, revocation, or modification of user access to the organizations systems, information assets, and data implemented upon any change in status of employees, contractors, customers, business partners, or involved third parties?

Not Applicable

Infrastructure & Virtualization Security

Audit Logging / Intrusion Detection

IVS-01.1

Are file integrity (host) and network intrusion detection (IDS) tools implemented to help facilitate timely detection, investigation by root cause analysis, and response to incidents?

Not Applicable

IVS-01.2

Is physical and logical user access to audit logs restricted to authorized personnel?

Yes

IVS-01.5

Are audit logs reviewed on a regular basis for security events (e.g., with automated tools)?

Yes

Clock Synchronization

IVS-03.1

Do you use a synchronized time-service protocol (e.g., NTP) to ensure all systems have a common time reference?

Yes

OS Hardening and Base Controls

IVS-07.1

Are operating systems hardened to provide only the necessary ports, protocols, and services to meet business needs using technical controls (e.g., antivirus, file integrity monitoring, and logging) as part of their baseline build standard or template?

Yes

Production / Non-Production Environments

IVS-08.1

For your SaaS or PaaS offering, do you provide tenants with separate environments for production and test processes?

Not Applicable

IVS-08.3

Do you logically and physically segregate production and non-production environments?

Yes

Segmentation

IVS-09.1

Are system and network environments protected by a firewall or virtual firewall to ensure business and customer security requirements?

Yes

VMM Security - Hypervisor Hardening

IVS-11.1

Do you restrict personnel access to all hypervisor management functions or administrative consoles for systems hosting virtualized systems based on the principle of least privilege and supported through technical controls (e.g., two-factor authentication, audit trails, IP address filtering, firewalls and TLS-encapsulated communications to the administrative consoles)?

Not Applicable

Wireless Security

IVS-12.1

Are policies and procedures established and mechanisms configured and implemented to protect the wireless network environment perimeter and to restrict unauthorized wireless traffic?

Not Applicable

IVS-12.2

Are policies and procedures established and mechanisms implemented to ensure wireless security settings are enabled with strong encryption for authentication and transmission, replacing vendor default settings (e.g., encryption keys, passwords, SNMP community strings)?

Not Applicable

IVS-12.3

Are policies and procedures established and mechanisms implemented to protect wireless network environments and detect the presence of unauthorized (rogue) network devices for a timely disconnect from the network?

Not Applicable

Interoperability & Portability

APIs

IPY-01.1

Do you publish a list of all APIs available in the service and indicate which are standard and which are customized?

Not Applicable

Mobile Security

Approved Applications

MOS-03.1

Do you have a policy enforcement capability (e.g., XACML) to ensure that only approved applications and those from approved application stores can be loaded onto a mobile device?

Not Applicable

Security Incident Management, E-Discovery, & Cloud Forensics

Incident Management

SEF-02.1

Do you have a documented security incident response plan?

Yes

SEF-02.4

Have you tested your security incident response plans in the last year?

Not Applicable

Incident Reporting

SEF-03.1

Does your security information and event management (SIEM) system merge data sources (e.g., app logs, firewall logs, IDS logs, physical access logs, etc.) for granular analysis and alerting?

No

SEF-03.2

Does your logging and monitoring framework allow isolation of an incident to specific tenants?

Yes

Incident Response Legal Preparation

SEF-04.4

Do you enforce and attest to tenant data separation when producing data in response to legal subpoenas?

Not Applicable

Supply Chain Management, Transparency, and Accountability

Incident Reporting

STA-02.1

Do you make security incident information available to all affected customers and providers periodically through electronic methods (e.g., portals)?

Yes

Network / Infrastructure Services

STA-03.1

Do you collect capacity and use data for all relevant components of your cloud service offering?

Yes

Third Party Agreements

STA-05.4

Do third-party agreements include provision for the security and protection of information and assets?

Yes

Third Party Audits

STA-09.1

Do you permit tenants to perform independent vulnerability assessments?

Yes

Threat and Vulnerability Management

Antivirus / Malicious Software

TVM-01.1

Do you have anti-malware programs that support or connect to your cloud service offerings installed on all of your systems?

Not Applicable

Vulnerability / Patch Management

TVM-02.5

Do you have a capability to rapidly patch vulnerabilities across all of your computing devices, applications, and systems?

Yes

Mobile Code

TVM-03.1

Is mobile code authorized before its installation and use, and the code configuration checked, to ensure that the authorized mobile code operates according to a clearly defined security policy?

Not Applicable