CAIQ Lite Questionnaire responses

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
	Application Security	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?	Yes
	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?	No
		AAC-02.2	Do you conduct network penetration tests of your cloud service infrastructure regularly as prescribed by industry best practices and guidance?	No
		AAC-02.3	Do you conduct application penetration tests of your cloud infrastructure regularly as prescribed by industry best practices and guidance?	No
	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?	No
	Information System Regulatory Mapping	AAC-03.2	Do 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 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?	Yes
	Impact Analysis	BCR-09.1	Do you provide tenants with ongoing visibility and reporting of your operational Service Level Agreement (SLA) performance?	No
	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?	No
		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
Change Control & Configuration Management	Unauthorized Software Installations	CCC-04.1	Do you have controls in place to restrict and monitor the installation of unauthorized software onto your systems?	No
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)?	Not Applicable	We 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.
	E-commerce Transactions	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	All our servers are under AWS and for this we rely on amazon.
	Secure Disposal	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	We 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 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	We have only few linux servers and few databases under AWS account.
	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?	Not Applicable	Our servers are under AWS.
	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	I think we do not need this so far.
Encryption & Key Management	Encryption	EKM-03.1	Do you encrypt tenant data at rest (on disk/storage) within your environment?	No	We 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 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	We do not have any private infrastructure. All our infrastructure (few linuxes + few databases) is under AWS.
	Policy	GRM-06.1	Do your information security and privacy policies align with industry standards (ISO-27001, ISO-22307, CoBIT, etc.)?	Not Applicable	We 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 Enforcement	GRM-07.1	Is a formal disciplinary or sanction policy established for employees who have violated security policies and procedures?	Yes
	Policy Reviews	GRM-09.1	Do you notify your tenants when you make material changes to your information security and/or privacy policies?	Not Applicable	We never did this as we store only user settings. For sure we will notify our customers if we decide to store any personal data.
	Policy Reviews	GRM-09.2	Do you perform, at minimum, annual reviews to your privacy and security policies?	Not Applicable	We 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 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?	Not Applicable	We have not considered this as we do not store any private data.
	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?	Yes	We do this on our level. Being a team of 4 people we know each other very well.
	Employment Agreements	HRS-03.1	Do you specifically train your employees regarding their specific role and the information security controls they must fulfill?	Yes
		HRS-03.3	Are all personnel required to sign NDA or Confidentiality Agreements as a condition of employment to protect customer/tenant information?	Yes
		HRS-03.5	Are personnel trained and provided with awareness programs at least once a year?	No	I think this does not make sense for team of 4.
	Employment Termination	HRS-04.1	Are documented policies, procedures, and guidelines in place to govern change in employment and/or termination?	Yes
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.)?	Yes
	Audit Tools Access	IAM-01.2	Do you monitor and log privileged access (e.g., administrator level) to information security management systems?	Yes
	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
	Source Code Access Restriction	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?	Yes
	User Access Restriction / Authorization	IAM-08.1	Do you document how you grant and approve access to tenant data?	No	We do not store anything except our app preferences.
	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)?	No	I think it does not apply to team of 4 people.
	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?	Yes
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?	No
		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)?	No
	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?	Yes
	Production / Non-Production Environments	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)?	Yes
	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?	No
		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)?	Yes
		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?	No
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?	No	We do not have APIs.
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?	No
Security Incident Management, E-Discovery, & Cloud Forensics	Incident Management	SEF-02.1	Do you have a documented security incident response plan?	No