Cliniko CAIQ-Lite.xlsx

	A	B	C	D	E	F
6	Section Heading	Control Heading	Original ID	Question Text	Answer	Notes/Comment
7	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 perform automated analysis and dependency checks through our continuous integration processes, which also test individual components of Cliniko.
8		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	We perform peer reviews on Cliniko via our pull request process, prior being deployed to any environment.
9		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	We provide this information to customers through Cliniko's terms of service, privacy policy and any other regulatory requirements (e.g. GDPR, HIPAA).
10		Data Integrity	AIS-03.1	Does your data management policies and procedures require audits to verify data input and output integrity routines?	Yes	We continuously monitor our data integrity though end to end tests, peer reviews, data sanitisation and penetration testing. Cliniko's database schema is managed, and changes are peer reviewed
11	Audit Assurance & Compliance	Independent Audits	AAC-02.1	Do you allow tenants to view your SOC2/ISO27001 or similar third-party audit or certification reports?	No	While we don't have SOC2 or ISO27001, we conduct an annual security audit, with a letter of assessment available to customers. Our cloud hosting provider, AWS, does hold SOC 2 and ISO 27001 certification.
12			AAC-02.2	Do you conduct network penetration tests of your cloud service infrastructure at least annually?	Yes	We conduct an annual security assessment and audit of our network and application with an independent security company. We also invite independent researchers to participate in our bug bounty program.
13			AAC-02.3	Do you conduct application penetration tests of your cloud infrastructure regularly as prescribed by industry best practices and guidance?	Yes	We conduct an annual security assessment and audit of our network and application with an independent security company. We also invite independent researchers to participate in our bug bounty program.
14		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 review the regulatory requirements regularly and make changes to ensure we maintain compliance with our regulatory requirements and obligations.
15	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	We regularly test our business continuity plans within existing production systems, and also test when new Cliniko regions are created. We update them when system, organisational or regulatory changes are required and review them annually.
16		Policy	BCR-10.1	Are policies and procedures established and made available for all personnel to adequately support services operations’ roles?	Yes	Our policies and procedures are available on company document repository.
17		Retention Policy	BCR-11.1	Do you have technical capabilities to enforce tenant data retention policies?	Not Applicable	Tenant data retention policies are managed by customers.
18			BCR-11.3	Have you implemented backup or recovery mechanisms to ensure compliance with regulatory, statutory, contractual or business requirements?	Yes	We backup over a rolling window to ensure compliance with regulatory requirements. For customers requiring additional data retention requirements, we offer data export facility from within Cliniko.
19			BCR-11.7	Do you test your backup or redundancy mechanisms at least annually?	Yes	We regularly test backup, recovery and redundancy mechanisms, at a minimum annually.
20	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	Our systems are managed through automated systems and change management. Any changes are peer reviewed before being installed.
21	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)?	Yes	We encrypt data in transit and at rest.
22		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	We encrypt data in transit and at rest.
23		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	We have procedures in place to ensure production data isn't used in non-production environments.
24		Secure Disposal	DSI-07.1	Do you support the secure deletion (e.g., degaussing/cryptographic wiping) of archived and backed-up data?	Not Applicable	This is managed by our cloud hosting provider, AWS.
25		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?	Yes	Customers can cancel anytime, export their from within Cliniko and request data deletion. Customer data is removed once it has left our rolling backup window.
26	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	We don't manage any sites or physical locations. We manage an inventory of hardware (company devices) and virtual/digital assets accordingly.
27		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?	Not Applicable	We work remotely and we don't have any physical premises. Data centre security is managed by our cloud hosting providers.
28		User Access	DCS-09.1	Do you restrict physical access to information assets and functions by users and support personnel?	Not Applicable	We work remotely and we don't have any physical premises. Data centre security is managed by our cloud hosting providers.
29	Encryption & Key Management	Key Generation	EKM-02.1	Do you have a capability to allow creation of unique encryption keys per tenant?	No	Data is encrypted in transit and at rest, but not utilising unique encryption keys per customer.
30	Encryption & Key Management	Encryption	EKM-03.1	Do you encrypt tenant data at rest (on disk/storage) within your environment?	Yes	This is managed by our cloud hosting provider, AWS.
31	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.)?	Yes	All of our infrastructure is automated (infrastructure as code) and is peer reviewed.
32		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	Our policies and procedures are available to our team via our company document repository.
33		Policy Enforcement	GRM-07.1	Is a formal disciplinary or sanction policy established for employees who have violated security policies and procedures?	Yes	These policies are supported by our employment contracts.
34		Policy Reviews	GRM-09.1	Do you notify your tenants when you make material changes to your information security and/or privacy policies?	Yes	Transparency is important to us. We notify customers of any changes to our terms of service, privacy policy or subprocessors.
35		Policy Reviews	GRM-09.2	Do you perform, at minimum, annual reviews to your privacy and security policies?	Yes	As part of our obligations under Australian law, and obligations in other jurisdictions, we review our privacy and security policies, at a minimum, annually.
36	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
37		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
38		Employment Agreements	HRS-03.1	Do your employment agreements incorporate provisions and/or terms in adherence to established information governance and security policies?	Yes
39		Employment Termination	HRS-04.1	Are documented policies, procedures, and guidelines in place to govern change in employment and/or termination?	Yes
40		Training / Awareness	HRS-09.5	Are personnel trained and provided with awareness programs at least once a year?	Yes	Awareness programs are conducted annually and the team is updated regularly as regulations and obligations change.
41	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
42		Audit Tools Access	IAM-01.2	Do you monitor and log privileged access (e.g., administrator level) to information security management systems?	Yes	We utilise our cloud hosting providers auditing trail to log access to systems.
43		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	Once access is no longer required for a system, it is removed.
44		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	We review the team's level of access regularly, at least annually.
45		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	We utilise source control management, which requires appropriate authentication, including MFA.
46		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	We have both technical and procedural controls in place to prevent unauthorised access.
47		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	We don't have access to customer credentials, but for support purposes, customers can authorise support access to their account for troubleshooting.
48		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	We review the team's level of access regularly, at least annually.
49		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
50	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?	Not Applicable	This is managed by our cloud hosting provider, AWS.
51			IVS-01.2	Is physical and logical user access to audit logs restricted to authorized personnel?	Yes	Physical access is managed by our cloud hosting provider, with logical access being restricted to the appropriate teams.
52			IVS-01.5	Are audit logs reviewed on a regular basis for security events (e.g., with automated tools)?	Yes	Audit logs are reviewed with automated and manual processes.
53		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
54		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
55		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?	No	Customers are able to create seperate accounts to replicate separate environments, however they will be contained within the production environment.
56		Production / Non-Production Environments	IVS-08.3	Do you logically and physically segregate production and non-production environments?	Yes
57		Segmentation	IVS-09.1	Are system and network environments protected by a firewall or virtual firewall to ensure business and customer security requirements?	Yes
58		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	We restrict access to the team with the appropriate authentication and MFA.
59		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	Although we work remotely and don't manage wireless networks, as part of our awareness program, we include a section on wireless network security and access.
60			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
61			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?	Yes
62	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?	Yes	API documentation is available at https://docs.api.cliniko.com/developer-portal/
63	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?	Not Applicable	Although we don't provide mobile devices to the team, as part of our awareness program, we include a section on securing devices.
64	Security Incident Management, E-Discovery, & Cloud Forensics	Incident Management	SEF-02.1	Do you have a documented security incident response plan?	Yes
65		Incident Management	SEF-02.4	Have you tested your security incident response plans in the last year?	Yes	We test our security response plans at least annually.
66		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
67		Incident Reporting	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
68		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
69	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	We post incident information at https://status.cliniko.com/and other methods, such as social media, where appropriate. For some incidents, we may contact the affected customers directly.
70		Network / Infrastructure Services	STA-03.1	Do you collect capacity and use data for all relevant components of your cloud service offering?	Yes
71		Third Party Agreements	STA-05.4	Do third-party agreements include provision for the security and protection of information and assets?	Yes	We ensure all our subprocessors adhere with relevant policies and procedures to comply with our regulatory requirements and obligations.
72		Third Party Agreements	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
73		Supply Chain Metrics	STA-07.4	Do you provide tenants with ongoing visibility and reporting of your operational Service Level Agreement (SLA) performance?	Yes	Although we don't provide a SLA, we are transparent with our availability and performance at https://status.cliniko.com/
74		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?	Yes	We regularly review our subprocessors, at least annually.
75	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	The team are required to keep their devices up-to-date with the latest operating system and security updates.
76		Vulnerability / Patch Management	TVM-02.5	Do you have a capability to patch vulnerabilities across all of your computing devices, applications, and systems?	Yes
77		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?	Not Applicable	We don't provide the team with mobile devices.
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105