A Configuration and Asset Management Policy governs configurations for new sensitive systems
Change Management Policy
A Change Management Policy governs the documenting, tracking, testing, and approving of system, network, security, and infrastructure changes.
Segregation of Environments
Development, staging, and production environments are segregated.
Production Data Use is Restricted
Production data is not used in the development and testing environments, unless required for debugging customer issues.
Secure Development Policy
A Secure Development Policy defines the requirements for secure software and system development and maintenance.
Availability
Testing the Business Continuity and Disaster Recovery Plan
The Business Continuity and Disaster Recovery Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Business Continuity and Disaster Recovery Plan based on the test results.
Uptime and Availability Monitoring
System tools monitors for uptime and availability based on predetermined criteria.
Backup Restoration Testing
Backed-up data is restored to a non-production environment at least annually to validate the integrity of backups.
Business Continuity and Disaster Recovery Policy
Business Continuity and Disaster Recovery Policy governs required processes for restoring the service or supporting infrastructure after suffering a disaster or disruption.
Organizational Management
Acceptable Use Policy
An Acceptable Use Policy defines standards for appropriate and secure use of company hardware and electronic systems including storage media, communication tools and internet access.
Code of Conduct
A Code of Conduct outlines ethical expectations, behavior standards, and ramifications of noncompliance.
Roles and Responsibilities
Information security roles and responsibilities are outlined for personnel responsible for the security, availability, and confidentiality of the system.
Information Security Policy
An Information Security Policy establishes the security requirements for maintaining the security, confidentiality, integrity, and availability of applications, systems, infrastructure, and data.
Internal Control Monitoring
A continuous monitoring solution monitors internal controls used in the achievement of service commitments and system requirements.
Performance Review Policy
A Performance Review Policy provides personnel context and transparency into their performance and career development processes.
Cybersecurity Insurance
Cybersecurity insurance has been procured to help minimize the financial impact of cybersecurity loss events.
Internal Control Policy
An Internal Control Policy identifies how a system of controls should be maintained to safeguard assets, promote operational efficiency, and encourage adherence to prescribed managerial policies.
Independent Advisor
The board of directors or equivalent entity function includes senior management and external advisors, who are independent from the company's operations. An information security team has also been established to govern cybersecurity.
Information Security Program Review
Management is responsible for the design, implementation, and management of the organization’s security policies and procedures. The policies and procedures are reviewed by management at least annually.
Disciplinary Action
Personnel who violate information security policies are subject to disciplinary action and such disciplinary action is clearly documented in one or more policies.
Background Checks
Background checks or their equivalent are performed before or promptly after a new hires start date, as permitted by local laws.
Confidentiality
Data Classification Policy
A Data Classification Policy details the security and handling protocols for sensitive data.
Data Retention and Disposal Policy
A Data Retention and Disposal Policy specifies how customer data is to be retained and disposed of based on compliance requirements and contractual obligations.
Disposal of Customer Data
Upon customer request, Company requires that data that is no longer needed from databases and other file stores is removed in accordance with agreed-upon customer requirements.
Vulnerability Management
Third-Party Penetration Test
A 3rd party is engaged to conduct a network and application penetration test of the production environment at least annually. Critical and high-risk findings are tracked through resolution.
Vulnerability and Patch Management Policy
A Vulnerability Management and Patch Management Policy outlines the processes to efficiently respond to identified vulnerabilities.
Incident Response
Lessons Learned
After any identified security incident has been resolved, management provides a "Lessons Learned" document to the team in order to continually improve security and operations.
Incident Response Plan
An Incident Response Plan outlines the process of identifying, prioritizing, communicating, assigning and tracking confirmed incidents through to resolution.
Incident Response Plan Testing
The Incident Response Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Incident Response Plan based on the test results.
Risk Assessment
Vendor Risk Management Policy
A Vendor Risk Management Policy defines a framework for the onboarding and management of the vendor relationship lifecycle.
Vendor Due Diligence Review
Vendor SOC 2 reports (or equivalent) are collected and reviewed on at least an annual basis.
Risk Assessment
Formal risk assessments are performed, which includes the identification of relevant internal and external threats related to security, availability, confidentiality, and fraud, and an analysis of risks associated with those threats.
Risk Register
A risk register is maintained, which records the risk mitigation strategies for identified risks, and the development or modification of controls consistent with the risk mitigation strategy.
Vendor Risk Assessment
New vendors are assessed in accordance with the Vendor Risk Management Policy prior to engaging with the vendor. Reassessment occurs at least annually.
Risk Assessment and Treatment Policy
A Risk Assessment and Treatment Policy governs the process for conducting risk assessments to account for threats, vulnerabilities, likelihood, and impact with respect to assets, team members, customers, vendors, suppliers, and partners. Risk tolerance and strategies are also defined in the policy.
Network Security
Network Security Policy
A Network Security Policy identifies the requirements for protecting information and systems within and across networks.
Logging and Monitoring for Threats
Logging and monitoring software is used to collect data from infrastructure to detect potential security threats, unusual system activity, and monitor system performance, as applicable.
Endpoint Security
Company endpoints are managed and configured with a strong password policy, anti-virus, and hard drive encryption
Access Security
Encryption and Key Management Policy
An Encryption and Key Management Policy supports the secure encryption and decryption of app secrets, and governs the use of cryptographic controls.
Asset Inventory
A list of system assets, components, and respective owners are maintained and reviewed at least annually
Access to Product is Restricted
Non-console access to production infrastructure is restricted to users with a unique SSH key or access key
Unique Access IDs
Personnel are assigned unique IDs to access sensitive systems, networks, and information
Complex Passwords
Personnel are required to use strong, complex passwords and a second form of authentication to access sensitive systems, networks, and information
Encryption-at-Rest
Service data is encrypted-at-rest.
Access Control and Termination Policy
An Access Control and Termination Policy governs authentication and access to applicable systems, data, and networks.
Physical Security
Physical Security Policy
A Physical Security Policy that details physical security requirements for the company facilities is in place.
Communications
Confidential Reporting Channel
A confidential reporting channel is made available to internal personnel and external parties to report security and other identified concerns.
Terms of Service
Terms of Service or the equivalent are published or shared to external users.
Privacy Policy
A Privacy Policy to both external users and internal personnel. This policy details the company's privacy commitments.
Communication of Security Commitments
Security commitments and expectations are communicated to both internal personnel and external users via the company's website.
Description of Services
Descriptions of the company's services and systems are available to both internal personnel and external users.
Communication of Critical Information
Critical information is communicated to external parties, as applicable.
