Every control, on the record.

Baseline Configurations

Baseline configurations and codebases for production infrastructure, systems, and applications are securely managed.

Production Data Use is Restricted

Production data is not used in the development and testing environments, unless required for debugging customer issues.

Segregation of Environments

Development, staging, and production environments are segregated.

Configuration and Asset Management Policy

A Configuration and Asset Management Policy governs configurations for new sensitive systems.

Software Change Testing

Software changes are tested prior to being deployed into production.

Secure Development Policy

A Secure Development Policy defines the requirements for secure software and system development and maintenance.

Approval for System Changes

System changes are approved by at least one independent person prior to deployment into production.

Change Management Policy

A Change Management Policy governs the documenting, tracking, testing, and approving of system, network, security, and infrastructure changes.

Business Continuity and Disaster Recovery Testing

The Business Continuity and Disaster Recovery Plan is periodically tested via tabletop exercises or equivalents. When necessary, management makes changes to the plan based on the test results.

Uptime and Availability Monitoring

System tools monitor for uptime and availability based on predetermined criteria.

High Availability Configuration

The system is configured for high availability to support continuous availability, when applicable.

Business Continuity and Disaster Recovery Policy

A Business Continuity and Disaster Recovery Policy governs required processes for restoring the service or supporting infrastructure after suffering a disaster or disruption.

Backup Restoration Testing

Backed-up data is restored to a non-production environment at least annually to validate the integrity of backups.

Automated Backup Process

Full backups are performed and retained in accordance with the Business Continuity and Disaster Recovery Policy.

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.

Performance Reviews

Internal personnel are evaluated via a formal performance review at least annually.

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.

Cybersecurity Insurance

Cybersecurity insurance has been procured to help minimize the financial impact of cybersecurity loss events.

New Hire Screening

Hiring managers screen new hires or internal transfers to assess their qualifications, experience, and competency to fulfill their responsibilities. New hires sign confidentiality agreements or equivalents upon hire.

Advisor Meetings on Security

Senior management meets at least annually to review business goals, company initiatives, resource needs, and risk management activities. The information security team meets at least annually to discuss security risks, roles and responsibilities, controls, changes, and audit results.

Organizational Chart

Management maintains a formal organizational chart to clearly identify positions of authority and the lines of communication, and publishes it to internal personnel.

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.

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.

Code of Conduct

A Code of Conduct outlines ethical expectations, behavior standards, and ramifications of noncompliance.

Background Checks

Background checks or their equivalent are performed before or promptly after a new hire's start date, as permitted by local laws.

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.

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.

Security Awareness Training

Internal personnel complete annual training programs for information security to help them understand their obligations and responsibilities related to security.

Personnel Acknowledge Security Policies

Internal personnel review and accept applicable information security policies at least annually.

Roles and Responsibilities

Information security roles and responsibilities are outlined for personnel responsible for the security, availability, and confidentiality of the system.

Data Classification Policy

A Data Classification Policy details the security and handling protocols for sensitive data.

Disposal of Customer Data

Upon customer request, data that is no longer needed from databases and other file stores is removed in accordance with agreed-upon customer requirements.

Retention of Customer Data

Procedures are in place to retain customer data based on agreed-upon customer requirements or in line with information security policies.

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.

Third-Party Penetration Test

A third 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.

Vulnerability Scanning

Vulnerability scanning is performed on production infrastructure systems, and identified deficiencies are remediated on a timely basis.

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.

Tracking a Security Incident

Identified incidents are documented, tracked, and analyzed according to the Incident Response Plan.

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 plan based on the test results.

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.

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.

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 include 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.

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.

Automated Alerting for Security Events

Alerting software is used to notify impacted teams of potential security events.

Restricted Port Configurations

Configurations ensure available networking ports, protocols, services, and environments are restricted as necessary, including firewalls.

Network Security Policy

A Network Security Policy identifies the requirements for protecting information and systems within and across networks.

Network Traffic Monitoring

Security tools are implemented to provide monitoring of network traffic to the production environment.

Access Control and Termination Policy

An Access Control and Termination Policy governs authentication and access to applicable systems, data, and networks.

User Access Reviews

System owners conduct scheduled user access reviews of production servers, databases, and applications to validate internal user access is commensurate with job responsibilities.

Least Privilege in Use

Users are provisioned access to systems based on the principle of least privilege.

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.

Encryption-in-Transit

Service data transmitted over the internet is encrypted in transit.

Complex Passwords

Personnel are required to use strong, complex passwords and a second form of authentication to access sensitive systems, networks, and information.

Access to Product is Restricted

Non-console access to production infrastructure is restricted to users with a unique SSH key or access key.

Administrative Access is Restricted

Administrative access to production infrastructure is restricted based on the principle of least privilege.

Unique Access IDs

Personnel are assigned unique IDs to access sensitive systems, networks, and information.

Removal of Access

Upon termination or when internal personnel no longer require access, system access is removed, as applicable.

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.

Privacy Policy

A Privacy Policy is published for both external users and internal personnel, detailing the company's privacy commitments.

Terms of Service

Terms of Service or the equivalent are published or shared with external users.

Confidential Reporting Channel

A confidential reporting channel is made available to internal personnel and external parties to report security and other identified concerns.

Communication of Critical Information

Critical information is communicated to external parties, as applicable.