CAIQ Lite Questionnaire responses

Section HeadingControl HeadingOriginal IDQuestion TextAnswerNotes/Comment
Application & Interface SecurityApplication SecurityAIS-01.2Do 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 RequirementsAIS-02.1Are 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?Yes
Data IntegrityAIS-03.1Are 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 & ComplianceIndependent AuditsAAC-02.1Do you allow tenants to view your SOC2/ISO 27001 or similar third-party audit or certification reports?No
AAC-02.2Do you conduct network penetration tests of your cloud service infrastructure regularly as prescribed by industry best practices and guidance?No
AAC-02.3Do you conduct application penetration tests of your cloud infrastructure regularly as prescribed by industry best practices and guidance?No
Information System Regulatory MappingAAC-03.1Do 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?No
AAC-03.2Do you have the capability to recover data for a specific customer in the case of a failure or data loss?Yes
Business Continuity Management & Operational ResilienceBusiness Continuity TestingBCR-02.1Are business continuity plans subject to testing at planned intervals or upon significant organizational or environmental changes to ensure continuing effectiveness?Yes
Impact AnalysisBCR-09.1Do you provide tenants with ongoing visibility and reporting of your operational Service Level Agreement (SLA) performance?No
PolicyBCR-10.1Are policies and procedures established and made available for all personnel to adequately support services operations' roles?Yes
Retention PolicyBCR-11.1Do you have technical control capabilities to enforce tenant data retention policies?No
BCR-11.4Have you implemented backup or redundancy mechanisms to ensure compliance with regulatory, statutory, contractual or business requirements?Yes
BCR-11.5Do you test your backup or redundancy mechanisms at least annually?Yes
Change Control & Configuration ManagementNew Development / AcquisitionCCC-01.2Is documentation available that describes the installation, configuration, and use of products/services/features?Yes
Unauthorized Software InstallationsCCC-04.1Do you have controls in place to restrict and monitor the installation of unauthorized software onto your systems?No
Data Security & Information Lifecycle ManagementE-commerce TransactionsDSI-03.1Do 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)?Not ApplicableWe do not ask our customers to directly transfer any data to/from us. All customer support communications go through Service Desk which is under SSL. Please correct me if I got this wrong.
DSI-03.2Do 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 DataDSI-05.1Do you have procedures in place to ensure production data shall not be replicated or used in non-production environments?Yes
Secure DisposalDSI-07.1Do you support secure deletion (e.g., degaussing/cryptographic wiping) of archived and backed-up data as determined by the tenant?Not ApplicableAll our servers are under AWS and for this we rely on amazon.
DSI-07.2Can 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 ApplicableWe do not store anything outside of our app databases. When clients uninstall our apps, an appropriate record is marked as inactive in a database. In databases we store only settings and so far we do not see a need to clean these records. Moreover some clients renew apps usage after a pause so they get their settings back.
Datacenter SecurityAsset ManagementDCS-01.1Do you maintain a complete inventory of all of your critical assets that includes ownership of the asset?NoWe have only few linux servers and few databases under AWS account.
Controlled Access PointsDCS-02.1Are physical security perimeters (e.g., fences, walls, barriers, guards, gates, electronic surveillance, physical authentication mechanisms, reception desks, and security patrols) implemented?Not ApplicableOur servers are under AWS.
User AccessDCS-09.1Do you restrict physical access to information assets and functions by users and support personnel?Yes
Encryption & Key ManagementKey GenerationEKM-02.1Do you have a capability to allow creation of unique encryption keys per tenant?Not ApplicableI think we do not need this so far.
EncryptionEKM-03.1Do you encrypt tenant data at rest (on disk/storage) within your environment?NoWe avoid storing any personal data. Only place were we store data from customers are databases that correspond to our apps. There we store preferences for our apps. All databases are under AWS RDS.
Governance and Risk ManagementBaseline RequirementsGRM-01.1Do you have documented information security baselines for every component of your infrastructure (e.g., hypervisors, operating systems, routers, DNS servers, etc.)?Not ApplicableWe do not have any private infrastructure. All our infrastructure (few linuxes + few databases) is under AWS.
PolicyGRM-06.1Do your information security and privacy policies align with industry standards (ISO-27001, ISO-22307, CoBIT, etc.)?Not ApplicableWe do not have any written policies. Our AWS based linux and databases are updated regularly and so far we considered this to be enough.
Policy EnforcementGRM-07.1Is a formal disciplinary or sanction policy established for employees who have violated security policies and procedures?Yes
Policy ReviewsGRM-09.1Do you notify your tenants when you make material changes to your information security and/or privacy policies?Not ApplicableWe never did this as we store only user settings. For sure we will notify our customers if we decide to store any personal data.
GRM-09.2Do you perform, at minimum, annual reviews to your privacy and security policies?Not ApplicableWe do not have any written policies. Our AWS based linux and databases are updated regularly and so far we considered this to be enough.
Human ResourcesAsset ReturnsHRS-01.1Are systems in place to monitor for privacy breaches and notify tenants expeditiously if a privacy event may have impacted their data?Not ApplicableWe have not considered this as we do not store any private data.
Background ScreeningHRS-02.1Pursuant to local laws, regulations, ethics, and contractual constraints, are all employment candidates, contractors, and involved third parties subject to background verification?YesWe do this on our level. Being a team of 4 people we know each other very well.
Employment AgreementsHRS-03.1Do you specifically train your employees regarding their specific role and the information security controls they must fulfill?Yes
HRS-03.3Are all personnel required to sign NDA or Confidentiality Agreements as a condition of employment to protect customer/tenant information?Yes
HRS-03.5Are personnel trained and provided with awareness programs at least once a year?NoI think this does not make sense for team of 4.
Employment TerminationHRS-04.1Are documented policies, procedures, and guidelines in place to govern change in employment and/or termination?Yes
Identity & Access ManagementAudit Tools AccessIAM-01.1Do you restrict, log, and monitor access to your information security management systems (e.g., hypervisors, firewalls, vulnerability scanners, network sniffers, APIs, etc.)?Yes
IAM-01.2Do you monitor and log privileged access (e.g., administrator level) to information security management systems?Yes
User Access PolicyIAM-02.1Do you have controls in place ensuring timely removal of systems access that is no longer required for business purposes?Yes
Policies and ProceduresIAM-04.1Do 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 RestrictionIAM-06.1Are 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-06.2Are controls in place to prevent unauthorized access to tenant application, program, or object source code, and assure it is restricted to authorized personnel only?Yes
User Access Restriction / AuthorizationIAM-08.1Do you document how you grant and approve access to tenant data?NoWe do not store anything except our app preferences.
User Access ReviewsIAM-10.1Do you require at least annual certification of entitlements for all system users and administrators (exclusive of users maintained by your tenants)?NoI think it does not apply to team of 4 people.
User Access RevocationIAM-11.1Is 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?Yes
Infrastructure & Virtualization SecurityAudit Logging / Intrusion DetectionIVS-01.1Are file integrity (host) and network intrusion detection (IDS) tools implemented to help facilitate timely detection, investigation by root cause analysis, and response to incidents?No
IVS-01.2Is physical and logical user access to audit logs restricted to authorized personnel?Yes
IVS-01.5Are audit logs reviewed on a regular basis for security events (e.g., with automated tools)?No
Clock SynchronizationIVS-03.1Do you use a synchronized time-service protocol (e.g., NTP) to ensure all systems have a common time reference?Yes
OS Hardening and Base ControlsIVS-07.1Are 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 EnvironmentsIVS-08.1For your SaaS or PaaS offering, do you provide tenants with separate environments for production and test processes?Yes
IVS-08.3Do you logically and physically segregate production and non-production environments?Yes
SegmentationIVS-09.1Are system and network environments protected by a firewall or virtual firewall to ensure business and customer security requirements?Yes
VMM Security - Hypervisor HardeningIVS-11.1Do 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)?Yes
Wireless SecurityIVS-12.1Are policies and procedures established and mechanisms configured and implemented to protect the wireless network environment perimeter and to restrict unauthorized wireless traffic?No
IVS-12.2Are 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)?Yes
IVS-12.3Are 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?No
Interoperability & PortabilityAPIsIPY-01.1Do you publish a list of all APIs available in the service and indicate which are standard and which are customized?NoWe do not have APIs.
Mobile SecurityApproved ApplicationsMOS-03.1Do 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?No
Security Incident Management, E-Discovery, & Cloud ForensicsIncident ManagementSEF-02.1Do you have a documented security incident response plan?No
SEF-02.4Have you tested your security incident response plans in the last year?No
Incident ReportingSEF-03.1Does 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-03.2Does your logging and monitoring framework allow isolation of an incident to specific tenants?No
Incident Response Legal PreparationSEF-04.4Do you enforce and attest to tenant data separation when producing data in response to legal subpoenas?NoWe hope to do not have any legal subpoenas.
Supply Chain Management, Transparency, and AccountabilityIncident ReportingSTA-02.1Do you make security incident information available to all affected customers and providers periodically through electronic methods (e.g., portals)?NoWe did not have security incidents. We do not store any private info so hope to do not have any security incident.
Network / Infrastructure ServicesSTA-03.1Do you collect capacity and use data for all relevant components of your cloud service offering?YesWe do not do it directly. AWS do this for us.
Third Party AgreementsSTA-05.4Do third-party agreements include provision for the security and protection of information and assets?Yes
Third Party AuditsSTA-09.1Do you permit tenants to perform independent vulnerability assessments?No
Threat and Vulnerability ManagementAntivirus / Malicious SoftwareTVM-01.1Do you have anti-malware programs that support or connect to your cloud service offerings installed on all of your systems?NoWe do not configure anti-malware on our linux servers. Instead we rely on AWS: we use AMI linux and there we install packages only from provided repos.
Vulnerability / Patch ManagementTVM-02.5Do you have a capability to rapidly patch vulnerabilities across all of your computing devices, applications, and systems?Yes
Mobile CodeTVM-03.1Is 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 ApplicableWe do no have any mobile code.