CAIQ-Lite questionnaire

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

We use Synk

AIS-01.5

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

Yes

See above

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?

N/A

We don’t grant other parties access to our data or date of our our customers

Data Integrity

AIS-03.1

Does your data management policies and procedures require audits to verify data input and output integrity routines?

Yes

Please refer to our Cybersecurity Policy

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

We are not certified

AAC-02.2

Do you conduct network penetration tests of your cloud service infrastructure at least annually?

Yes

As indicated in the Cybersecurity Policy we used managed services from Heroku and AWS - our apps behind Load Balancer or a front-end server managed by Heroku or AWS. This makes findings during a network scan unlikely.

Anyhow we conduct a yearly network scan for all cloud apps annually.

AAC-02.3

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

Partly

Apps indicated as “Cloud Security Participant” have undergone a full blown external penetration test which is repeated in case of significant changes.

Apps not indicated as “Cloud Security Participant” undergo internal penetration tests and are covered by the static code analysis.

Information System Regulatory Mapping

AAC-03.1

Do you have a program in place that includes the ability to monitor changes to the regulatory requirements in relevant jurisdictions, adjust your security program for changes to legal requirements, and ensure compliance with relevant regulatory requirements?

Yes

We monitor relevant sources including The Atlassian Developer Community, Heise etc.

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?

N/A

Due to the size of company this questions must currently be answered as N/A.

Policy

BCR-10.1

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

Yes

All employees have access to the relevant resources.

Retention Policy

BCR-11.1

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

Yes

The only data which should be kept is installation data. We don’t keep any other data than that.

Even if the installation would be lost the only effect would be that customers must reinstall the affected app.

BCR-11.3

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

Yes

See above

BCR-11.7

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

Yes

See above

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?

Yes

Data Security & Information Lifecycle Management

E-commerce Transactions

DSI-03.1

Do you provide standardized (e.g. ISO/IEC) non-proprietary encryption algorithms (3DES, 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)?

N/A

We don’t perform any E-commerce transactions.

However, all relevant communication is protected.

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)?

N/A

See above

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

Our systems are totally separated

Secure Disposal

DSI-07.1

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

N/A

We do not archive any data. Once date is not needed anymore it is deleted.

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?

Yes

Please refer to the Privacy Policy

Datacenter Security

Asset Management

DCS-01.2

Do you maintain a complete inventory of all of your critical assets located at all sites/ or geographical locations and their assigned ownership?

Yes

Data Assets (internal only)

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 for all areas housing sensitive data and information systems?

N/A

Due to the size of company this questions must currently be answered as N/A.

User Access

DCS-09.1

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

Yes

Data Assets (internal only)

Encryption & Key Management

Key Generation

EKM-02.1

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

N/A

We don’t store any data on our systems except access data which currently don’t allow unique encryption keys

Encryption

EKM-03.1

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

N/A

See above

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.)?

Partly

Please refer to our Cybersecurity Policy

Policy

GRM-06.1

Are your information security policies and procedures made available to all impacted personnel and business partners, authorized by accountable business role/function and supported by the information security management program as per industry best practices (e.g. ISO 27001, SOC 2)?

Yes

Please refer to our Cybersecurity Policy

Policy Enforcement

GRM-07.1

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

N/A

Due to the size of company this questions must currently be answered as N/A.

Policy Reviews

GRM-09.1

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

No

GRM-09.2

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

Yes

Human Resources

Asset Returns

HRS-01.1

Upon termination of contract or business relationship, are employees and business partners adequately informed of their obligations for returning organizationally-owned assets?

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?

No

Due to the size of the company

Employment Agreements

HRS-03.1

Do your employment agreements incorporate provisions and/or terms in adherence to established information governance and security policies?

Yes

Employment Termination

HRS-04.1

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

No

Due to the size of the company

Training / Awareness

HRS-09.5

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

Yes

Done during the cybersecurity audit

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

IAM-01.2

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

No

Due to the size of the company

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?

Partly

Most of our apps are open source

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?

Partly

Most of our apps are open source

User Access Restriction / Authorization

IAM-08.1

Do you document how you grant, approve and enforce access restrictions to tenant/customer credentials following the rules of least privilege?

Yes

Due to the size of the company all employees have access.

User Access Reviews

IAM-10.1

Do you require a periodical authorization and validation (e.g. at least annually) of the entitlements for all system users and administrators (exclusive of users maintained by your tenants), based on the rule of least privilege, by business leadership or other accountable business role or function?

Yes

See above

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?

Yes

Provided by AWS and/or Heroku

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?

Yes

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)?

N/A

No such systems operated by us

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?

Yes

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?

Partly

Our cloud apps don’t offer an API; the API of Server and DC apps is published in the documentation

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?

N/A

Security Incident Management, E-Discovery, & Cloud Forensics

Incident Management

SEF-02.1

Do you have a documented security incident response plan?

Yes

Please refer to our Cybersecurity Policy

SEF-02.4

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

Yes

Incident Reporting

SEF-03.1

Are workforce personnel and external business relationships adequately informed of their responsibility, and, if required, consent and/or contractually required to report all information security events in a timely manner?

Yes

SEF-03.2

Do you have predefined communication channels for workforce personnel and external business partners to report incidents in a timely manner adhering to applicable legal, statutory, or regulatory compliance obligations?

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?

Yes

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?

N/A

STA-05.5

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

Yes

Remark: we only store connection details; all other data is stored within the host application

Supply Chain Metrics

STA-07.4

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

No

We maintain our service levels but do not publish details.

Third Party Audits

STA-09.1

Do you mandate annual information security reviews and audits of your third party providers to ensure that all agreed upon security requirements are met?

No

Apart from AWS and Heroku (+ logging services) we don’t have any third-partly providers

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 IT infrastructure network and systems components?

Yes

Vulnerability / Patch Management

TVM-02.5

Do you have a capability to 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?

Yes