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Content Changes
130 content changes. 43 administrative changes (dates, page numbers) hidden.
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p. 2
Rearranged, retitled, and expanded information in the “Completing the Self-Assessment Questionnaire” section (previously titled “Before You Begin”).
Aligned content in Sections 1 and 3 of Attestation of Compliance (AOC) with PCI DSS v4.0 Report on Compliance AOC.
Added PCI DSS v4.0 requirements.
Added appendices to support new reporting responses.
December 2022 4.0 1 Removed “In Place with Remediation” as a reporting option from Requirement Responses table, Attestation of Compliance (AOC) Part 2g, SAQ Section 2 Response column, and AOC Section 3. Also removed former Appendix C.
Added “In Place with CCW” to AOC Section 3.
Added guidance for responding to future-dated requirements.
Added minor clarifications and addressed typographical errors.
Aligned content in Sections 1 and 3 of Attestation of Compliance (AOC) with PCI DSS v4.0 Report on Compliance AOC.
Added PCI DSS v4.0 requirements.
Added appendices to support new reporting responses.
December 2022 4.0 1 Removed “In Place with Remediation” as a reporting option from Requirement Responses table, Attestation of Compliance (AOC) Part 2g, SAQ Section 2 Response column, and AOC Section 3. Also removed former Appendix C.
Added “In Place with CCW” to AOC Section 3.
Added guidance for responding to future-dated requirements.
Added minor clarifications and addressed typographical errors.
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This SAQ is not applicable to service providers.
The merchant uses only an imprint machine and/or uses only standalone, dial-out terminals (connected via a phone line to the merchant processor) to take customers’ payment card information; The standalone, dial-out terminals are not connected to any other systems within the merchant environment; The standalone, dial-out terminals are not connected to the Internet; The merchant does not store account data in electronic format, and Any account data the merchant might retain is on paper (for example, printed reports or receipts), and these documents are not received electronically.
The merchant uses only an imprint machine and/or uses only standalone, dial-out terminals (connected via a phone line to the merchant processor) to take customers’ payment card information; The standalone, dial-out terminals are not connected to any other systems within the merchant environment; The standalone, dial-out terminals are not connected to the Internet; The merchant does not store account data in electronic format, and Any account data the merchant might retain is on paper (for example, printed reports or receipts), and these documents are not received electronically.
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PCI DSS is intended for all entities that store, process, or transmit cardholder data (CHD) and/or sensitive authentication data (SAD) or could impact the security of the cardholder data environment (CDE). Cardholder data and sensitive authentication data are considered account data and are defined as follows:
Account Data Cardholder Data includes: Sensitive Authentication Data includes:
• Full track data (magnetic-stripe data or equivalent on a chip)
• Card verification code
• PINs/PIN blocks Refer to PCI DSS Section 2, PCI DSS Applicability Information, for further details.
1. Confirm by review of the eligibility criteria in this SAQ and the Self-Assessment Questionnaire Instructions and Guidelines document on the PCI SSC website that this is the correct SAQ for the merchant’s environment.
2. Confirm that the merchant environment is properly scoped.
Section 1: Assessment Information (Parts 1 & 2 of the Attestation of Compliance (AOC)
• Contact Information and Executive Summary).
The intent behind each testing method is described as …
Account Data Cardholder Data includes: Sensitive Authentication Data includes:
• Full track data (magnetic-stripe data or equivalent on a chip)
• Card verification code
• PINs/PIN blocks Refer to PCI DSS Section 2, PCI DSS Applicability Information, for further details.
1. Confirm by review of the eligibility criteria in this SAQ and the Self-Assessment Questionnaire Instructions and Guidelines document on the PCI SSC website that this is the correct SAQ for the merchant’s environment.
2. Confirm that the merchant environment is properly scoped.
Section 1: Assessment Information (Parts 1 & 2 of the Attestation of Compliance (AOC)
• Contact Information and Executive Summary).
The intent behind each testing method is described as …
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The testing methods are intended to allow the merchant to demonstrate how it has met a requirement. The specific items to be examined or observed and personnel to be interviewed should be appropriate for both the requirement being assessed and the merchant’s particular implementation.
Full details of testing procedures for each requirement can be found in PCI DSS.
Requirement Responses For each requirement item, there is a choice of responses to indicate the merchant’s status regarding that requirement. Only one response should be selected for each requirement item.
Not Tested The response is not applicable to, and not included as an option for, this SAQ.
This SAQ was created for a specific type of environment based on how the merchant stores, processes, and/or transmits account data and defines the specific PCI DSS requirements that apply for this environment. Consequently, all requirements in this SAQ must be tested.
This response is also used if a requirement …
Full details of testing procedures for each requirement can be found in PCI DSS.
Requirement Responses For each requirement item, there is a choice of responses to indicate the merchant’s status regarding that requirement. Only one response should be selected for each requirement item.
Not Tested The response is not applicable to, and not included as an option for, this SAQ.
This SAQ was created for a specific type of environment based on how the merchant stores, processes, and/or transmits account data and defines the specific PCI DSS requirements that apply for this environment. Consequently, all requirements in this SAQ must be tested.
This response is also used if a requirement …
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For each response where Not Applicable is selected in this SAQ, complete Appendix C: Explanation of Requirements Noted as Not Applicable.
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Note: A legal restriction is one where meeting the PCI DSS requirement would violate a local or regional law or regulation.
Contractual obligations or legal advice are not legal restrictions.
Use of the Customized Approach SAQs cannot be used to document use of the Customized Approach to meet PCI DSS requirements. For this reason, the Customized Approach Objectives are not included in SAQs. Entities wishing to validate using the Customized Approach may be able to use the PCI DSS Report on Compliance (ROC) Template to document the results of their assessment.
The use of the customized approach may be regulated by organizations that manage compliance programs, such as payment brands and acquirers. Questions about use of a customized approach should always be referred to those organizations. This includes whether an entity that is eligible for an SAQ may instead complete a ROC to use a customized approach, and whether an entity is required …
Contractual obligations or legal advice are not legal restrictions.
Use of the Customized Approach SAQs cannot be used to document use of the Customized Approach to meet PCI DSS requirements. For this reason, the Customized Approach Objectives are not included in SAQs. Entities wishing to validate using the Customized Approach may be able to use the PCI DSS Report on Compliance (ROC) Template to document the results of their assessment.
The use of the customized approach may be regulated by organizations that manage compliance programs, such as payment brands and acquirers. Questions about use of a customized approach should always be referred to those organizations. This includes whether an entity that is eligible for an SAQ may instead complete a ROC to use a customized approach, and whether an entity is required …
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PCI Data Security Standard Requirements and Testing Procedures (PCI DSS) Guidance on Scoping Guidance on the intent of all PCI DSS Requirements Details of testing procedures Guidance on Compensating Controls Appendix G: Glossary of Terms, Abbreviations, and Acronyms SAQ Instructions and Guidelines Information about all SAQs and their eligibility criteria How to determine which SAQ is right for your organization Frequently Asked Questions (FAQs) Guidance and information about SAQs.
Online PCI DSS Glossary PCI DSS Terms, Abbreviations, and Acronyms Information Supplements and Guidelines Guidance on a variety of PCI DSS topics including:
− Understanding PCI DSS Scoping and Network Segmentation − Third-Party Security Assurance − Multi-Factor Authentication Guidance − Best Practices for Maintaining PCI DSS Compliance Getting Started with PCI Resources for smaller merchants including:
− Guide to Safe Payments − Common Payment Systems − Questions to Ask Your Vendors − Glossary …
Online PCI DSS Glossary PCI DSS Terms, Abbreviations, and Acronyms Information Supplements and Guidelines Guidance on a variety of PCI DSS topics including:
− Understanding PCI DSS Scoping and Network Segmentation − Third-Party Security Assurance − Multi-Factor Authentication Guidance − Best Practices for Maintaining PCI DSS Compliance Getting Started with PCI Resources for smaller merchants including:
− Guide to Safe Payments − Common Payment Systems − Questions to Ask Your Vendors − Glossary …
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Indicate all payment channels used by the business that are included in this assessment.
Mail order/telephone order (MOTO) E-Commerce Card-present Are any payment channels not included in this assessment? If yes, indicate which channel(s) is not included in the assessment and provide a brief explanation about why the channel was excluded.
Part 2b. Description of Role with Payment Cards For each payment channel included in this assessment as selected in Part 2a above, describe how the business stores, processes and/or transmits account data.
Channel How Business Stores, Processes, and/or Transmits Account Data Part 2c. Description of Payment Card Environment Provide a high-level description of the environment covered by this assessment. For example:
• Connections into and out of the cardholder data environment (CDE).
• Critical system components within the CDE, such as POI devices, databases, web servers, etc., and any other necessary payment components, as applicable.
• System components that could impact the security of account …
Mail order/telephone order (MOTO) E-Commerce Card-present Are any payment channels not included in this assessment? If yes, indicate which channel(s) is not included in the assessment and provide a brief explanation about why the channel was excluded.
Part 2b. Description of Role with Payment Cards For each payment channel included in this assessment as selected in Part 2a above, describe how the business stores, processes and/or transmits account data.
Channel How Business Stores, Processes, and/or Transmits Account Data Part 2c. Description of Payment Card Environment Provide a high-level description of the environment covered by this assessment. For example:
• Connections into and out of the cardholder data environment (CDE).
• Critical system components within the CDE, such as POI devices, databases, web servers, etc., and any other necessary payment components, as applicable.
• System components that could impact the security of account …
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Facility Type Total number of locations (How many locations of this type are in scope) Location(s) of facility (city, country) Example: Data centers 3 Boston, MA, USA Part 2e. PCI SSC Validated Products and Solutions Does the merchant use any item identified on any PCI SSC Lists of Validated Products and Solutions♦? Provide the following information regarding each item the merchant uses from PCI SSC’s Lists of Validated Products and Solutions.
Name of PCI SSC- validated Product or Version of Product or
PCI SSC Standard to which product or solution was validated
PCI SSC listing reference number Expiry date of listing (YYYY-MM-DD) ♦ For purposes of this document, ”Lists of Validated Products and Solutions” means the lists of validated products, solutions, and/or components appearing on the PCI SSC website (www.pcisecuritystandards.org)for example, 3DS Software Development Kits, Approved PTS Devices, Validated Payment Software, Payment Applications (PA-DSS), Point to Point Encryption (P2PE) solutions, Software-Based PIN Entry …
Name of PCI SSC- validated Product or Version of Product or
PCI SSC Standard to which product or solution was validated
PCI SSC listing reference number Expiry date of listing (YYYY-MM-DD) ♦ For purposes of this document, ”Lists of Validated Products and Solutions” means the lists of validated products, solutions, and/or components appearing on the PCI SSC website (www.pcisecuritystandards.org)for example, 3DS Software Development Kits, Approved PTS Devices, Validated Payment Software, Payment Applications (PA-DSS), Point to Point Encryption (P2PE) solutions, Software-Based PIN Entry …
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PCI DSS Requirement * Requirement Responses More than one response may be selected for a given requirement.
Indicate all responses that apply.
In Place In Place with CCW Not Applicable Not in Place
* PCI DSS Requirements indicated above refer to the requirements in Section 2 of this SAQ.
The merchant uses only an imprint machine and/or uses only standalone, dial-out terminals (connected via a phone line the merchant processor) to take customers’ payment card information.
The standalone, dial-out terminals are not connected to any other systems within the merchant environment.
The standalone, dial-out terminals are not connected to the Internet.
The merchant does not store account data in electronic format.
Any account data the merchant might retain is on paper (for example, printed reports or receipts), and these documents are not received electronically.
Note: For SAQ B, Requirement 3 applies only to merchants with paper records that include account data (for example, receipts or printed reports).
PCI DSS Requirement …
Indicate all responses that apply.
In Place In Place with CCW Not Applicable Not in Place
* PCI DSS Requirements indicated above refer to the requirements in Section 2 of this SAQ.
The merchant uses only an imprint machine and/or uses only standalone, dial-out terminals (connected via a phone line the merchant processor) to take customers’ payment card information.
The standalone, dial-out terminals are not connected to any other systems within the merchant environment.
The standalone, dial-out terminals are not connected to the Internet.
The merchant does not store account data in electronic format.
Any account data the merchant might retain is on paper (for example, printed reports or receipts), and these documents are not received electronically.
Note: For SAQ B, Requirement 3 applies only to merchants with paper records that include account data (for example, receipts or printed reports).
PCI DSS Requirement …
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• Kept up to date.
• In use.
• Known to all affected parties.
• In use.
• Known to all affected parties.
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Selection of any of the In Place responses for Requirement 3.1.1 means that, if the merchant has paper storage of account data, the merchant has policies and procedures in place that govern merchant activities for Requirement 3. This helps to ensure personnel are aware of and following security policies and documented operational procedures for managing the secure storage of any paper records with account data.
If merchant does not store paper records with account data, mark this requirement as Not Applicable and complete Appendix C: Explanation of Requirements Noted as Not Applicable.
If merchant does not store paper records with account data, mark this requirement as Not Applicable and complete Appendix C: Explanation of Requirements Noted as Not Applicable.
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PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 3.3 Sensitive authentication data (SAD) is not stored after authorization.
• Examine documented policies and procedures.
• Observe the secure data deletion processes.
Applicability Notes Part of this Applicability Note was intentionally blank for this SAQ as it does not apply to merchant assessments. Sensitive authentication data includes the data cited in Requirements 3.3.1.1 through 3.3.1.3.
• Examine documented policies and procedures.
• Observe the secure data deletion processes.
Applicability Notes Part of this Applicability Note was intentionally blank for this SAQ as it does not apply to merchant assessments. Sensitive authentication data includes the data cited in Requirements 3.3.1.1 through 3.3.1.3.
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PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 3.3.1.2 The card verification code is not retained upon completion of the authorization process.
Applicability Notes The card verification code is the three- or four-digit number printed on the front or back of a payment card used to verify card-not-present transactions.
Selection of any of the In Place responses for Requirement 3.3.1.2 means that if the merchant writes down the card verification code while a transaction is being conducted, the merchant either securely destroys the paper (for example, with a shredder) immediately after the transaction is complete, or obscures the code (for example, by “blacking it out” with a marker) before the paper is stored.
If the merchant never requests the three-digit or four-digit number printed on the front or back of a payment card (“card verification code”), mark the …
Applicability Notes The card verification code is the three- or four-digit number printed on the front or back of a payment card used to verify card-not-present transactions.
Selection of any of the In Place responses for Requirement 3.3.1.2 means that if the merchant writes down the card verification code while a transaction is being conducted, the merchant either securely destroys the paper (for example, with a shredder) immediately after the transaction is complete, or obscures the code (for example, by “blacking it out” with a marker) before the paper is stored.
If the merchant never requests the three-digit or four-digit number printed on the front or back of a payment card (“card verification code”), mark the …
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PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 3.4.1 PAN is masked when displayed (the BIN and last four digits are the maximum number of digits to be displayed), such that only personnel with a legitimate business need can see more than the BIN and last four digits of the PAN.
• Examine the documented list of roles that need access to more than the BIN and last four digits of the PAN (includes full PAN).
• Examine displays of PAN (for example, on screen, on paper receipts).
Applicability Notes This requirement does not supersede stricter requirements in place for displays of cardholder data•for example, legal or payment brand requirements for point-of-sale (POS) receipts.
This requirement relates to protection of PAN where it is displayed on screens, paper receipts, printouts, etc., and is not to be confused with Requirement …
• Examine the documented list of roles that need access to more than the BIN and last four digits of the PAN (includes full PAN).
• Examine displays of PAN (for example, on screen, on paper receipts).
Applicability Notes This requirement does not supersede stricter requirements in place for displays of cardholder data•for example, legal or payment brand requirements for point-of-sale (POS) receipts.
This requirement relates to protection of PAN where it is displayed on screens, paper receipts, printouts, etc., and is not to be confused with Requirement …
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• Job classification and function.
• Examine user access settings, including for privileged users.
• Interview personnel responsible for assigning access.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 9.4 Media with cardholder data is securely stored, accessed, distributed, and destroyed.
Note: For SAQ B, Requirements at 9.4 only apply to merchants with paper records (for example, receipts or printed reports) with account data, including primary account numbers (PANs).
• Examine user access settings, including for privileged users.
• Interview personnel responsible for assigning access.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 9.4 Media with cardholder data is securely stored, accessed, distributed, and destroyed.
Note: For SAQ B, Requirements at 9.4 only apply to merchants with paper records (for example, receipts or printed reports) with account data, including primary account numbers (PANs).
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• Interview responsible personnel at the storge location(s).
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• Bullet intentionally left blank for this SAQ.
• Bullet intentionally left blank for this SAQ.
• Examine offsite tracking logs for all media.
• Examine offsite media tracking logs.
Applicability Notes Individuals approving media movements should have the appropriate level of management authority to grant this approval. However, it is not specifically required that such individuals have “manager” as part of their title.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 9.4.6 Hard-copy materials with cardholder data are destroyed when no longer needed for business or legal reasons, as follows:
• Materials are cross-cut shredded, incinerated, or pulped so that cardholder data cannot be reconstructed.
• Materials are stored in secure storage containers prior to destruction.
• Examine the periodic media destruction policy.
• Observe storage containers.
Applicability Notes These requirements for media destruction when that media is no longer needed for business or …
• Bullet intentionally left blank for this SAQ.
• Examine offsite tracking logs for all media.
• Examine offsite media tracking logs.
Applicability Notes Individuals approving media movements should have the appropriate level of management authority to grant this approval. However, it is not specifically required that such individuals have “manager” as part of their title.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 9.4.6 Hard-copy materials with cardholder data are destroyed when no longer needed for business or legal reasons, as follows:
• Materials are cross-cut shredded, incinerated, or pulped so that cardholder data cannot be reconstructed.
• Materials are stored in secure storage containers prior to destruction.
• Examine the periodic media destruction policy.
• Observe storage containers.
Applicability Notes These requirements for media destruction when that media is no longer needed for business or …
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• Maintaining a list of POI devices.
• Periodically inspecting POI devices to look for tampering or unauthorized substitution.
Applicability Notes These requirements apply to deployed POI devices used in card-present transactions (that is, a payment card form factor such as a card that is swiped, tapped, or dipped). This requirement is not intended to apply to manual PAN key-entry components such as computer keyboards.
This requirement is recommended, but not required, for manual PAN key-entry components such as computer keyboards. This requirement does not apply to commercial off-the-shelf (COTS) devices (for example, smartphones or tablets), which are mobile merchant-owned devices designed for mass-market distribution.
• Periodically inspecting POI devices to look for tampering or unauthorized substitution.
Applicability Notes These requirements apply to deployed POI devices used in card-present transactions (that is, a payment card form factor such as a card that is swiped, tapped, or dipped). This requirement is not intended to apply to manual PAN key-entry components such as computer keyboards.
This requirement is recommended, but not required, for manual PAN key-entry components such as computer keyboards. This requirement does not apply to commercial off-the-shelf (COTS) devices (for example, smartphones or tablets), which are mobile merchant-owned devices designed for mass-market distribution.
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• Make and model of the device.
• Location of device.
• Device serial number or other methods of unique identification.
• Observe POI devices and device locations.
• Location of device.
• Device serial number or other methods of unique identification.
• Observe POI devices and device locations.
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PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 9.5.1.3 Training is provided for personnel in POI environments to be aware of attempted tampering or replacement of POI devices, and includes:
• Verifying the identity of any third-party persons claiming to be repair or maintenance personnel, before granting them access to modify or troubleshoot devices.
• Procedures to ensure devices are not installed, replaced, or returned without verification.
• Being aware of suspicious behavior around devices.
• Reporting suspicious behavior and indications of device tampering or substitution to appropriate personnel.
Selection of any of the In Place responses for Requirements at 9.5 means that the merchant has policies and procedures in place for Requirements 9.5.1, 9.5.1.1, 9.5.1.2, and 9.5.1.3, and that it maintains a current list of devices, conducts periodic device inspections, and trains employees about what to look for to …
• Verifying the identity of any third-party persons claiming to be repair or maintenance personnel, before granting them access to modify or troubleshoot devices.
• Procedures to ensure devices are not installed, replaced, or returned without verification.
• Being aware of suspicious behavior around devices.
• Reporting suspicious behavior and indications of device tampering or substitution to appropriate personnel.
Selection of any of the In Place responses for Requirements at 9.5 means that the merchant has policies and procedures in place for Requirements 9.5.1, 9.5.1.1, 9.5.1.2, and 9.5.1.3, and that it maintains a current list of devices, conducts periodic device inspections, and trains employees about what to look for to …
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• Disseminated to all relevant personnel, as well as to relevant vendors and business partners.
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• Updated as needed to reflect changes to business objectives or risks to the environment.
Selection of any of the In Place responses for Requirements 12.1.1 and 12.1.2 means that the merchant has a security policy that is reasonable for the size and complexity of the merchant’s operations, and that the policy is reviewed at least once every 12 months and updated if needed.
Selection of any of the In Place responses for Requirements 12.1.1 and 12.1.2 means that the merchant has a security policy that is reasonable for the size and complexity of the merchant’s operations, and that the policy is reviewed at least once every 12 months and updated if needed.
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• Examine documented evidence.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place SAQ Completion Guidance:
Selection of any of the In Place responses for Requirement 12.1.3 means that the merchant’s security policy defines basic security responsibilities for all personnel, consistent with the size and complexity of the merchant’s operations. For example, security responsibilities could be defined according to basic responsibilities by employee levels, such as the responsibilities expected of a manager/owner and those expected of clerks.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place SAQ Completion Guidance:
Selection of any of the In Place responses for Requirement 12.1.3 means that the merchant’s security policy defines basic security responsibilities for all personnel, consistent with the size and complexity of the merchant’s operations. For example, security responsibilities could be defined according to basic responsibilities by employee levels, such as the responsibilities expected of a manager/owner and those expected of clerks.
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• Examine the security awareness program.
Selection of any of the In Place responses for Requirement 12.6.1 means that the merchant has a security awareness program in place, consistent with the size and complexity of the merchant’s operations. For example, a simple awareness program could be a flyer posted in the back office, or a periodic e-mail sent to all employees. Examples of awareness program messaging include descriptions of security tips all employees should follow, such as how to lock doors and storage containers, how to determine whether a payment terminal has been tampered with, and processes to confirm the identity and verify there is a legitimate business reason for any service workers when they arrive to service payment terminals.
Selection of any of the In Place responses for Requirement 12.6.1 means that the merchant has a security awareness program in place, consistent with the size and complexity of the merchant’s operations. For example, a simple awareness program could be a flyer posted in the back office, or a periodic e-mail sent to all employees. Examples of awareness program messaging include descriptions of security tips all employees should follow, such as how to lock doors and storage containers, how to determine whether a payment terminal has been tampered with, and processes to confirm the identity and verify there is a legitimate business reason for any service workers when they arrive to service payment terminals.
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• Examine list of TPSPs.
Applicability Notes The use of a PCI DSS compliant TPSP does not make an entity PCI DSS compliant, nor does it remove the entity’s responsibility for its own PCI DSS compliance.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 12.8.2 Written agreements with TPSPs are maintained as follows:
• Written agreements include acknowledgments from TPSPs that they are responsible for the security of account data the TPSPs possess or otherwise store, process, or transmit on behalf of the entity, or to the extent that they could impact the security of the entity’s CDE.
Applicability Notes The use of a PCI DSS compliant TPSP does not make an entity PCI DSS compliant, nor does it remove the entity’s responsibility for its own PCI DSS compliance.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 12.8.2 Written agreements with TPSPs are maintained as follows:
• Written agreements include acknowledgments from TPSPs that they are responsible for the security of account data the TPSPs possess or otherwise store, process, or transmit on behalf of the entity, or to the extent that they could impact the security of the entity’s CDE.
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Applicability Notes The exact wording of an acknowledgment will depend on the agreement between the two parties, the details of the service being provided, and the responsibilities assigned to each party. The acknowledgment does not have to include the exact wording provided in this requirement.
Evidence that a TPSP is meeting PCI DSS requirements (for example, a PCI DSS Attestation of Compliance (AOC) or a declaration on a company’s website) is not the same as a written agreement specified in this requirement.
Evidence that a TPSP is meeting PCI DSS requirements (for example, a PCI DSS Attestation of Compliance (AOC) or a declaration on a company’s website) is not the same as a written agreement specified in this requirement.
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Applicability Notes Where an entity has an agreement with a TPSP for meeting PCI DSS requirements on behalf of the entity (for example, via a firewall service), the entity must work with the TPSP to make sure the applicable PCI DSS requirements are met. If the TPSP does not meet those applicable PCI DSS requirements, then those requirements are also “not in place” for the entity.
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 12.8.5 Information is maintained about which PCI DSS requirements are managed by each TPSP, which are managed by the entity, and any that are shared between the TPSP and the entity.
Selection of any of the In Place responses for requirements at 12.8.1 through 12.8.5 means that the merchant has a list of, and agreements with, service providers it shares account data with …
PCI DSS Requirement Expected Testing Response♦ (Check one response for each requirement) In Place In Place with CCW Not Applicable Not in Place 12.8.5 Information is maintained about which PCI DSS requirements are managed by each TPSP, which are managed by the entity, and any that are shared between the TPSP and the entity.
Selection of any of the In Place responses for requirements at 12.8.1 through 12.8.5 means that the merchant has a list of, and agreements with, service providers it shares account data with …
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• Examine documentation from previously reported incidents.
Selection of any of the In Place responses for Requirement 12.10.1 means that the merchant has documented an incident response and escalation plan to be used for emergencies, consistent with the size and complexity of the merchant’s operations. For example, such a plan could be a simple document posted in the back office that lists who to call in the event of various situations with an annual review to confirm it is still accurate, but could extend all the way to a full incident response plan including backup “hotsite” facilities and thorough annual testing. This plan should be readily available to all personnel as a resource in an emergency.
Appendix A3: Designated Entities Supplemental Validation (DESV) This Appendix applies only to entities designated by a payment brand(s) or acquirer as requiring additional validation of existing PCI DSS requirements. Entities required to validate to this Appendix …
Selection of any of the In Place responses for Requirement 12.10.1 means that the merchant has documented an incident response and escalation plan to be used for emergencies, consistent with the size and complexity of the merchant’s operations. For example, such a plan could be a simple document posted in the back office that lists who to call in the event of various situations with an annual review to confirm it is still accurate, but could extend all the way to a full incident response plan including backup “hotsite” facilities and thorough annual testing. This plan should be readily available to all personnel as a resource in an emergency.
Appendix A3: Designated Entities Supplemental Validation (DESV) This Appendix applies only to entities designated by a payment brand(s) or acquirer as requiring additional validation of existing PCI DSS requirements. Entities required to validate to this Appendix …
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Target Date for Compliance: YYYY-MM-DD A merchant submitting this form with a Non-Compliant status may be required to complete the Action Plan in Part 4 of this document. Confirm with the entity to which this AOC will be submitted before completing Part 4.
Compliant but with Legal exception: One or more assessed requirements in the PCI DSS SAQ are marked as Not in Place due to a legal restriction that prevents the requirement from being met and all other requirements are marked as being either 1) In Place, 2) In Place with CCW, or 3) Not Applicable, resulting in an overall COMPLIANT BUT WITH LEGAL EXCEPTION rating; thereby (Merchant Company Name) has demonstrated compliance with all PCI DSS requirements included in this SAQ except those noted as Not in Place due to a legal restriction.
This option requires additional review from the entity to which this AOC will be submitted. If selected, …
Compliant but with Legal exception: One or more assessed requirements in the PCI DSS SAQ are marked as Not in Place due to a legal restriction that prevents the requirement from being met and all other requirements are marked as being either 1) In Place, 2) In Place with CCW, or 3) Not Applicable, resulting in an overall COMPLIANT BUT WITH LEGAL EXCEPTION rating; thereby (Merchant Company Name) has demonstrated compliance with all PCI DSS requirements included in this SAQ except those noted as Not in Place due to a legal restriction.
This option requires additional review from the entity to which this AOC will be submitted. If selected, …
Added
p. 32
PCI DSS controls will be maintained at all times, as applicable to the merchant’s environment.
QSA performed testing procedures.
QSA provided other assistance.
If selected, describe all role(s) performed:
If selected, describe all role(s) performed:
Signature of Lead QSA Date: YYYY-MM-DD Lead QSA Name:
ISA(s) performed testing procedures.
ISA(s) provided other assistance.
QSA performed testing procedures.
QSA provided other assistance.
If selected, describe all role(s) performed:
If selected, describe all role(s) performed:
Signature of Lead QSA Date: YYYY-MM-DD Lead QSA Name:
ISA(s) performed testing procedures.
ISA(s) provided other assistance.
Added
p. 33
If asked to complete this section, select the appropriate response for “Compliant to PCI DSS Requirements” for each requirement below. For any “No” responses, include the date the merchant expects to be compliant with the requirement and a brief description of the actions being taken to meet the requirement.
Removed
p. 2
This document aligns with PCI DSS v3.2.1 r1.
Removed
p. 4
• Your company uses only an imprint machine and/or uses only standalone, dial-out terminals (connected via a phone line to your processor) to take your customers’ payment card information;
• The standalone, dial-out terminals are not connected to any other systems within your environment;
• The standalone, dial-out terminals are not connected to the Internet;
• Your company does not transmit cardholder data over a network (either an internal network or the Internet);
• Any cardholder data your company retains is on paper (for example, printed reports or receipts), and these documents are not received electronically; and
• Your company does not store cardholder data in electronic format.
1. Identify the applicable SAQ for your environment⎯refer to the Self-Assessment Questionnaire Instructions and Guidelines document on PCI SSC website for information.
2. Confirm that your environment is properly scoped and meets the eligibility criteria for the SAQ you are using (as defined in Part 2g of the Attestation …
• The standalone, dial-out terminals are not connected to any other systems within your environment;
• The standalone, dial-out terminals are not connected to the Internet;
• Your company does not transmit cardholder data over a network (either an internal network or the Internet);
• Any cardholder data your company retains is on paper (for example, printed reports or receipts), and these documents are not received electronically; and
• Your company does not store cardholder data in electronic format.
1. Identify the applicable SAQ for your environment⎯refer to the Self-Assessment Questionnaire Instructions and Guidelines document on PCI SSC website for information.
2. Confirm that your environment is properly scoped and meets the eligibility criteria for the SAQ you are using (as defined in Part 2g of the Attestation …
Modified
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This shortened version of the SAQ includes questions that apply to a specific type of small merchant environment, as defined in the above eligibility criteria. If there are PCI DSS requirements applicable to your environment that are not covered in this SAQ, it may be an indication that this SAQ is not suitable for your environment. Additionally, you must still comply with all applicable PCI DSS requirements in order to be PCI DSS compliant.
This SAQ includes only those requirements that apply to a specific type of merchant environment, as defined in the above eligibility criteria. If there are PCI DSS requirements applicable to the cardholder data environment that are not covered in this SAQ, it may be an indication that this SAQ is not suitable for the merchant’s environment.
Modified
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3. Assess your environment for compliance with applicable PCI DSS requirements.
3. Assess the environment for compliance with PCI DSS requirements.
Modified
p. 4 → 5
Section 2: Self-Assessment Questionnaire B.
Modified
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Section 3: Validation and Attestation Details (Parts 3 & 4 of the AOC
• PCI DSS Validation and Action Plan for Non-Compliant Requirements (if Part 4 is applicable)).
• PCI DSS Validation and Action Plan for Non-Compliant Requirements (if Part 4 is applicable)).
Modified
p. 4 → 5
5. Submit the SAQ and Attestation of Compliance (AOC), along with any other requested documentation
•such as ASV scan reports
•toyour acquirer, payment brand, or other requester.
•such as ASV scan reports
•to
5. Submit the SAQ and AOC, along with any other requested documentation
•such as ASV scan reports
•to the requesting organization (those organizations that manage compliance programs such as payment brands and acquirers).
•such as ASV scan reports
•to the requesting organization (those organizations that manage compliance programs such as payment brands and acquirers).
Removed
p. 5
Additional resources that provide guidance on PCI DSS requirements and how to complete the self- assessment questionnaire have been provided to assist with the assessment process. An overview of some of these resources is provided below:
(PCI Data Security Standard Requirements and Security Assessment Procedures)
• Guidance on Scoping
• Guidance on the intent of all PCI DSS Requirements
• Details of testing procedures
• Guidance on Compensating Controls SAQ Instructions and Guidelines documents
• Information about all SAQs and their eligibility criteria
• How to determine which SAQ is right for your organization
PCI DSS and PA-DSS Glossary of Terms, Abbreviations, and Acronyms
• Descriptions and definitions of terms used in the PCI DSS and self-assessment questionnaires These and other resources can be found on the PCI SSC website (www.pcisecuritystandards.org). Organizations are encouraged to review the PCI DSS and other supporting documents before beginning an assessment.
(PCI Data Security Standard Requirements and Security Assessment Procedures)
• Guidance on Scoping
• Guidance on the intent of all PCI DSS Requirements
• Details of testing procedures
• Guidance on Compensating Controls SAQ Instructions and Guidelines documents
• Information about all SAQs and their eligibility criteria
• How to determine which SAQ is right for your organization
PCI DSS and PA-DSS Glossary of Terms, Abbreviations, and Acronyms
• Descriptions and definitions of terms used in the PCI DSS and self-assessment questionnaires These and other resources can be found on the PCI SSC website (www.pcisecuritystandards.org). Organizations are encouraged to review the PCI DSS and other supporting documents before beginning an assessment.
Modified
p. 5
Expected Testing The instructions provided in the “Expected Testing” column are based on the testing procedures in the PCI DSS, and provide a high-level description of the types of testing activities that should be performed in order to verify that a requirement has been met. Full details of testing procedures for each requirement can be found in the PCI DSS.
Expected Testing The instructions provided in the “Expected Testing” column are based on the testing procedures in PCI DSS and provide a high-level description of the types of testing activities that a merchant is expected to perform to verify that a requirement has been met.
Removed
p. 6
Guidance for Non-Applicability of Certain, Specific Requirements If any requirements are deemed not applicable to your environment, select the “N/A” option for that specific requirement, and complete the “Explanation of Non-Applicability” worksheet in Appendix C for each “N/A” entry.
Modified
p. 6
A description of the meaning for each response is provided in the table below:
A description of the meaning for each response and when to use each response is provided in the table below:
Modified
p. 6
In Place The expected testing has been performed, and all elements of the requirement have been met as stated.
Modified
p. 6
In Place with CCW (Compensating Controls Worksheet) The expected testing has been performed, and the requirement has been met with the assistance of a compensating control.
Modified
p. 6
All responses in this column require completion of a Compensating Control Worksheet (CCW) in Appendix B of the SAQ.
All responses in this column require completion of a Compensating Controls Worksheet (CCW) in Appendix B of this SAQ.
Modified
p. 6
Information on the use of compensating controls and guidance on how to complete the worksheet is provided in the PCI DSS.
Information on the use of compensating controls and guidance on how to complete the worksheet is provided in PCI DSS Appendices B and C.
Modified
p. 6
Not in Place Some or all elements of the requirement have not been met, or are in the process of being implemented, or require further testing before the merchant can confirm they are in place. Responses in this column may require the completion of Part 4, if requested by the entity to which this SAQ will be submitted.
Modified
p. 6
Not Applicable The requirement does not apply to the merchant’s environment. (See “Guidance for Not Applicable Requirements” below for examples.) All responses in this column require a supporting explanation in Appendix C of this SAQ.
Modified
p. 6 → 7
Legal Exception If your organization is subject to a legal restriction that prevents the organization from meeting a PCI DSS requirement, check the “No” column for that requirement and complete the relevant attestation in Part 3.
Legal Exception If your organization is subject to a legal restriction that prevents the organization from meeting a PCI DSS requirement, select Not in Place for that requirement and complete the relevant attestation in Section 3, Part 3 of this SAQ.
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p. 7
Part 1. Merchant and Qualified Security Assessor Information Part 1a. Merchant Organization Information Company Name: DBA (doing business as):
Business Address: City:
Business Address: City:
State/Province: Country: Zip:
State/Province: Country: Zip:
Lead QSA Contact Name: Title:
Part 2. Executive Summary Part 2a. Type of Merchant Business (check all that apply) Retailer Telecommunication Grocery and Supermarkets Petroleum E-Commerce Mail order/telephone order (MOTO) Others (please specify):
What types of payment channels does your business serve?
Mail order/telephone order (MOTO) E-Commerce Card-present (face-to-face) Which payment channels are covered by this SAQ? Mail order/telephone order (MOTO) E-Commerce Card-present (face-to-face)
Business Address: City:
Business Address: City:
State/Province: Country: Zip:
State/Province: Country: Zip:
Lead QSA Contact Name: Title:
Part 2. Executive Summary Part 2a. Type of Merchant Business (check all that apply) Retailer Telecommunication Grocery and Supermarkets Petroleum E-Commerce Mail order/telephone order (MOTO) Others (please specify):
What types of payment channels does your business serve?
Mail order/telephone order (MOTO) E-Commerce Card-present (face-to-face) Which payment channels are covered by this SAQ? Mail order/telephone order (MOTO) E-Commerce Card-present (face-to-face)
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Section 1: Assessment Information Instructions for Submission This document must be completed as a declaration of the results of the merchant’s self-assessment with the Payment Card Industry Data Security Standard Requirements and Security Assessment Procedures (PCI DSS). Complete all sections: The merchant is responsible for ensuring that each section is completed by the relevant parties, as applicable. Contact your acquirer (merchant bank) or the payment brands to determine reporting and submission procedures.
Section 1: Assessment Information Instructions for Submission This document must be completed as a declaration of the results of the merchant’s self-assessment against the Payment Card Industry Data Security Standard (PCI DSS) Requirements and Testing Procedures. Complete all sections. The merchant is responsible for ensuring that each section is completed by the relevant parties, as applicable. Contact the entity(ies) to which the Attestation of Compliance (AOC) will be submitted for reporting and submission procedures.
Modified
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Qualified Security Assessor Company name:
Modified
p. 7 → 10
Note: If your organization has a payment channel or process that is not covered by this SAQ, consult your acquirer or payment brand about validation for the other channels.
Note: If the organization has a payment channel that is not covered by this SAQ, consult with the entity(ies) to which this AOC will be submitted about validation for the other channels.
Removed
p. 8
Type of facility Number of facilities of this type Location(s) of facility (city, country) Example: Retail outlets 3 Boston, MA, USA Part 2d. Payment Applications Does the organization use one or more Payment Applications? Yes No Provide the following information regarding the Payment Applications your organization uses:
Payment Application Version Number Application Is application PA-DSS Listed? PA-DSS Listing Expiry date (if applicable) Part 2e. Description of Environment Provide a high-level description of the environment covered by this assessment.
For example:
• Connections into and out of the cardholder data environment (CDE).
• Critical system components within the CDE, such as POS devices, databases, web servers, etc., and any other necessary payment components, as applicable.
Payment Application Version Number Application Is application PA-DSS Listed? PA-DSS Listing Expiry date (if applicable) Part 2e. Description of Environment Provide a high-level description of the environment covered by this assessment.
For example:
• Connections into and out of the cardholder data environment (CDE).
• Critical system components within the CDE, such as POS devices, databases, web servers, etc., and any other necessary payment components, as applicable.
Modified
p. 8 → 10
Indicate whether the environment includes segmentation to reduce the scope of the assessment. (Refer to “Segmentation” section of PCI DSS for guidance on segmentation.)
Removed
p. 9
Description of services provided by QIR:
Does your company share cardholder data with any third-party service providers (for example, Qualified Integrator & Resellers (QIR), gateways, payment processors, payment service providers (PSP), web-hosting companies, airline booking agents, loyalty program agents, etc.)? Name of service provider: Description of services provided:
Merchant uses only an imprint machine to imprint customers’ payment card information and does not transmit cardholder data over either a phone line or the Internet; and/or Merchant uses only standalone, dial-out terminals (connected via a phone line to your processor); and the standalone, dial-out terminals are not connected to the Internet or any other systems within the merchant environment; Merchant does not transmit cardholder data over a network (either an internal network or the Internet); Merchant does not store cardholder data in electronic format; and If Merchant does store cardholder data, such data is only paper reports or copies of paper receipts and …
Does your company share cardholder data with any third-party service providers (for example, Qualified Integrator & Resellers (QIR), gateways, payment processors, payment service providers (PSP), web-hosting companies, airline booking agents, loyalty program agents, etc.)? Name of service provider: Description of services provided:
Merchant uses only an imprint machine to imprint customers’ payment card information and does not transmit cardholder data over either a phone line or the Internet; and/or Merchant uses only standalone, dial-out terminals (connected via a phone line to your processor); and the standalone, dial-out terminals are not connected to the Internet or any other systems within the merchant environment; Merchant does not transmit cardholder data over a network (either an internal network or the Internet); Merchant does not store cardholder data in electronic format; and If Merchant does store cardholder data, such data is only paper reports or copies of paper receipts and …
Modified
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Part 2g. Eligibility to Complete SAQ B Merchant certifies eligibility to complete this shortened version of the Self-Assessment Questionnaire because, for this payment channel:
Part 2h. Eligibility to Complete SAQ B Merchant certifies eligibility to complete this Self-Assessment Questionnaire because, for this payment channel:
Removed
p. 10
(d) Do all systems adhere to the following requirements regarding non-storage of sensitive authentication data after authorization (even if encrypted):
Removed
p. 10
• The cardholder’s name,
• Expiration date, and
• Expiration date, and
Modified
p. 10 → 14
Note: The following questions are numbered according to PCI DSS requirements and testing procedures, as defined in the PCI DSS Requirements and Security Assessment Procedures document.
Note: The following requirements mirror the requirements in the PCI DSS Requirements and Testing Procedures document.
Modified
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Self-assessment completion date: Protect Cardholder Data
Self-assessment completion date: YYYY-MM-DD Protect Account Data
Modified
p. 10 → 14
Requirement 3: Protect stored cardholder data
Requirement 3: Protect Stored Account Data
Modified
p. 10 → 15
• Examine deletion processes.
• Examine data sources.
Modified
p. 10 → 15
Applicability Notes In the normal course of business, the following data elements from the track may need to be retained:
Modified
p. 10 → 15
• Primary account number (PAN),
• Primary account number (PAN).
Modified
p. 10 → 15
• Service code To minimize risk, store only these data elements as needed for business.
• Service code. To minimize risk, store securely only these data elements as needed for business.
Modified
p. 10 → 16
• Examine data sources including:
• Examine data sources.
Removed
p. 11
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 3.2.2 The card verification code or value (three-digit or four- digit number printed on the front or back of a payment card) is not stored after authorization?
• Examine data sources including:
- Database contents 3.3 Is the PAN masked when displayed (the first six and last four digits are the maximum number of digits to be displayed) such that only personnel with a legitimate business need can see more than the first six/last four digits of the PAN? Note: This requirement does not supersede stricter requirements in place for displays of cardholder data•for example, legal or payment card brand requirements for point-of-sale (POS) receipts.
• Review roles that need access to displays of full PAN.
• Observe displays of PAN.
• Examine data sources including:
- Database contents 3.3 Is the PAN masked when displayed (the first six and last four digits are the maximum number of digits to be displayed) such that only personnel with a legitimate business need can see more than the first six/last four digits of the PAN? Note: This requirement does not supersede stricter requirements in place for displays of cardholder data•for example, legal or payment card brand requirements for point-of-sale (POS) receipts.
• Review roles that need access to displays of full PAN.
• Observe displays of PAN.
Modified
p. 11 → 17
• Review policies and procedures.
• Examine documented policies and procedures.
Removed
p. 12
Requirement 4: Encrypt transmission of cardholder data across open, public networks
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 4.2 Are policies in place that state that unprotected PANs are not to be sent via end-user messaging technologies?
• Review policies and procedures.
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 7.1 Is access to system components and cardholder data limited to only those individuals whose jobs require such access, as follows:
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 4.2 Are policies in place that state that unprotected PANs are not to be sent via end-user messaging technologies?
• Review policies and procedures.
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 7.1 Is access to system components and cardholder data limited to only those individuals whose jobs require such access, as follows:
Removed
p. 13
• Assigned only to roles that specifically require that privileged access?
• Examine written access control
• Review privileged user IDs.
• Examine written access control
• Review privileged user IDs.
Modified
p. 13 → 18
Requirement 7: Restrict access to cardholder data by business need to know
Requirement 7: Restrict Access to System Components and Cardholder Data by Business Need to Know
Modified
p. 13 → 18
• To least privileges necessary to perform job responsibilities?
• Least privileges necessary to perform job responsibilities.
Modified
p. 13 → 18
• Interview management.
• Interview responsible management personnel.
Modified
p. 13 → 20
• Interview management.
• Interview personnel.
Removed
p. 14
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 9.5 Are all media physically secured (including but not limited to computers, removable electronic media, paper receipts, paper reports, and faxes)? For purposes of Requirement 9, “media” refers to all paper and electronic media containing cardholder data.
Removed
p. 14
Do controls include the following:
Removed
p. 14
(c) Is media destruction performed as follows:
Modified
p. 14 → 18
• Review policies and procedures for physically securing media.
• Examine policies and procedures.
Modified
p. 14 → 19
Requirement 9: Restrict physical access to cardholder data
Requirement 9: Restrict Physical Access to Cardholder Data
Modified
p. 14 → 19
• Examine media distribution tracking logs and documentation.
• Examine media logs or other documentation.
Modified
p. 14 → 19
• Examine media distribution tracking logs and documentation.
• Examine logs or other documentation.
Modified
p. 14 → 23
• Interview security personnel.
• Interview personnel.
Removed
p. 15
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 9.8.1 (a) Are hardcopy materials cross-cut shredded, incinerated, or pulped so that cardholder data cannot be reconstructed?
• Review periodic media destruction policies and procedures
• Observe processes Are storage containers used for materials that contain information to be destroyed secured to prevent access to the contents?
• Examine security of storage containers.
• Review periodic media destruction policies and procedures
• Observe processes Are storage containers used for materials that contain information to be destroyed secured to prevent access to the contents?
• Examine security of storage containers.
Removed
p. 15
(a) Do policies and procedures require that a list of such devices be maintained?
• Review policies and procedures.
(b) Do policies and procedures require that devices are periodically inspected to look for tampering or substitution?
• Review policies and procedures.
• Review policies and procedures.
(b) Do policies and procedures require that devices are periodically inspected to look for tampering or substitution?
• Review policies and procedures.
Modified
p. 15 → 21
• Review policies and procedures.
• Training personnel to be aware of suspicious behavior and to report tampering or unauthorized substitution of devices.
Modified
p. 15 → 21
• Examine the list of devices.
• Examine the list of POI devices.
Modified
p. 15 → 26
• Interview personnel
• Interview personnel.
Removed
p. 16
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 9.9.1 (cont.) (b) Is the list accurate and up to date?
• Observe devices and device locations and compare to list.
(c) Is the list of devices updated when devices are added, relocated, decommissioned, etc.?
• Interview personnel.
• Observe devices and device locations and compare to list.
(c) Is the list of devices updated when devices are added, relocated, decommissioned, etc.?
• Interview personnel.
Removed
p. 16
Are personnel aware of procedures for inspecting devices?
• Interview personnel.
• Interview personnel.
Modified
p. 16 → 19
• Interview personnel.
• Interview responsible personnel.
Modified
p. 16 → 21
• Observe inspection processes and compare to defined processes.
• Observe inspection processes.
Removed
p. 17
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 9.9.3 Are personnel trained to be aware of attempted tampering or replacement of devices, to include the following? (a) Do training materials for personnel at point-of-sale locations include the following? - Verify the identity of any third-party persons claiming to be repair or maintenance personnel, prior to granting them access to modify or troubleshoot devices. - Do not install, replace, or return devices without verification. - Be aware of suspicious behavior around devices (for example, attempts by unknown persons to unplug or open devices). - Report suspicious behavior and indications of device tampering or substitution to appropriate personnel (for example, to a manager or security officer).
(b) Have personnel at point-of-sale locations received training, and are they aware of procedures to detect and report attempted tampering or replacement of devices?
• Interview personnel at POS locations.
(b) Have personnel at point-of-sale locations received training, and are they aware of procedures to detect and report attempted tampering or replacement of devices?
• Interview personnel at POS locations.
Modified
p. 17 → 22
• Review training materials.
• Review training materials for personnel in POI environments.
Removed
p. 18
Requirement 12: Maintain a policy that addresses information security for all personnel
Note: For the purposes of Requirement 12, “personnel” refers to full-time part-time employees, temporary employees and personnel, and contractors and consultants who are “resident” on the entity’s site or otherwise have access to the company’s site cardholder data environment.
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 12.1 Is a security policy established, published, maintained, and disseminated to all relevant personnel?
• Review the information security policy.
Note: For the purposes of Requirement 12, “personnel” refers to full-time part-time employees, temporary employees and personnel, and contractors and consultants who are “resident” on the entity’s site or otherwise have access to the company’s site cardholder data environment.
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 12.1 Is a security policy established, published, maintained, and disseminated to all relevant personnel?
• Review the information security policy.
Removed
p. 18
Note: Examples of critical technologies include, but are not limited to, remote access and wireless technologies, laptops, tablets, removable electronic media, e-mail usage and Internet usage.
Modified
p. 18 → 25
• Interview a sample of responsible personnel.
• Interview responsible personnel.
Removed
p. 19
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 12.5 (b) Are the following information security management responsibilities formally assigned to an individual or team:
Modified
p. 19 → 23
• Review list of service providers.
• Reviewed at least once every 12 months.
Modified
p. 19 → 24
• Review policies and procedures.
• Examine policies and procedures.
Modified
p. 19 → 25
• Observe written agreements.
• Examine written agreements with TPSPs.
Removed
p. 20
PCI DSS Question Expected Testing Response (Check one response for each question) CCW No N/A 12.8.4 Is a program maintained to monitor service providers’ PCI DSS compliance status at least annually?
• Review policies and procedures and supporting documentation.
• Review policies and procedures and supporting documentation.
Modified
p. 20 → 26
• Review incident response plan procedures.
• Examine the incident response plan.
Modified
p. 21 → 27
Appendix A2: Additional PCI DSS Requirements for Entities using SSL/early TLS for Card-Present POS POI Terminal Connections This appendix is not used for SAQ B merchant assessments Appendix A3: Designated Entities Supplemental Validation (DESV) This Appendix applies only to entities designated by a payment brand(s) or acquirer as requiring additional validation of existing PCI DSS requirements. Entities required to validate to this Appendix should use the DESV Supplemental Reporting Template and Supplemental Attestation of Compliance for reporting, and consult with …
Appendix A2: Additional PCI DSS Requirements for Entities using SSL/early TLS for Card-Present POS POI Terminal Connections This Appendix is not used for SAQ B merchant assessments.
Modified
p. 22 → 28
Note: Only companies that have undertaken a risk analysis and have legitimate technological or documented business constraints can consider the use of compensating controls to achieve compliance.
Note: Only entities that have a legitimate and documented technological or business constraint can consider the use of compensating controls to achieve compliance.
Modified
p. 22 → 28
Refer to Appendices B, C, and D of PCI DSS for information about compensating controls and guidance on how to complete this worksheet.
Refer to Appendices B and C in PCI DSS for information about compensating controls and guidance on how to complete this worksheet.
Modified
p. 22 → 28
1. Constraints List constraints precluding compliance with the original requirement.
1. Constraints Document the legitimate technical or business constraints precluding compliance with the original requirement.
Modified
p. 22 → 28
3. Objective Define the objective of the original control.
Modified
p. 22 → 28
4. Identified Risk Identify any additional risk posed by the lack of the original control.
Modified
p. 22 → 28
2. Definition of Compensating Controls Define the compensating controls: explain how they address the objectives of the original control and the increased risk, if any.
Modified
p. 22 → 28
6. Maintenance Define process and controls in place to maintain compensating controls.
6. Maintenance Define process(es) and controls in place to maintain compensating controls.
Modified
p. 23 → 29
Requirement Reason Requirement is Not Applicable 3.4 Cardholder data is never stored electronically
Requirement Reason Requirement is Not Applicable
Removed
p. 24
An entity submitting this form with a status of Non-Compliant may be required to complete the Action Plan in Part 4 of this document. Check with your acquirer or the payment brand(s) before completing Part 4.
Compliant but with Legal exception: One or more requirements are marked “No” due to a legal restriction that prevents the requirement from being met. This option requires additional review from acquirer or payment brand.
If checked, complete the following:
I have confirmed with my payment application vendor that my payment system does not store sensitive authentication data after authorization.
I have read the PCI DSS and I recognize that I must maintain PCI DSS compliance, as applicable to my environment, at all times.
If my environment changes, I recognize I must reassess my environment and implement any additional PCI DSS requirements that apply.
Compliant but with Legal exception: One or more requirements are marked “No” due to a legal restriction that prevents the requirement from being met. This option requires additional review from acquirer or payment brand.
If checked, complete the following:
I have confirmed with my payment application vendor that my payment system does not store sensitive authentication data after authorization.
I have read the PCI DSS and I recognize that I must maintain PCI DSS compliance, as applicable to my environment, at all times.
If my environment changes, I recognize I must reassess my environment and implement any additional PCI DSS requirements that apply.
Modified
p. 24 → 31
Section 3: Validation and Attestation Details Part 3. PCI DSS Validation This AOC is based on results noted in SAQ B (Section 2), dated (SAQ completion date).
Section 3: Validation and Attestation Details Part 3. PCI DSS Validation This AOC is based on results noted in SAQ B (Section 2), dated (Self-assessment completion date YYYY-MM-DD).
Modified
p. 24 → 31
Based on the results documented in the SAQ B noted above, the signatories identified in Parts 3b-3d, as applicable, assert(s) the following compliance status for the entity identified in Part 2 of this document (check one):
Based on the results documented in the SAQ B noted above, each signatory identified in any of Parts 3b−3d, as applicable, assert(s) the following compliance status for the merchant identified in Part 2 of this document.
Modified
p. 24 → 31
Compliant: All sections of the PCI DSS SAQ are complete, all questions answered affirmatively, resulting in an overall COMPLIANT rating; thereby (Merchant Company Name) has demonstrated full compliance with the PCI DSS.
Compliant: All sections of the PCI DSS SAQ are complete and all requirements are marked as being either 1) In Place, 2) In Place with CCW, or 3) Not Applicable, resulting in an overall COMPLIANT rating; thereby (Merchant Company Name) has demonstrated compliance with all PCI DSS requirements included in this SAQ.
Modified
p. 24 → 31
Non-Compliant: Not all sections of the PCI DSS SAQ are complete, or not all questions are answered affirmatively, resulting in an overall NON-COMPLIANT rating, thereby (Merchant Company Name) has not demonstrated full compliance with the PCI DSS.
Non-Compliant: Not all sections of the PCI DSS SAQ are complete, or one or more requirements are marked as Not in Place, resulting in an overall NON-COMPLIANT rating, thereby (Merchant Company Name) has not demonstrated compliance with the PCI DSS requirements included in this SAQ.
Modified
p. 24 → 31
Affected Requirement Details of how legal constraint prevents requirement being met Part 3a. Acknowledgement of Status Signatory(s) confirms:
Affected Requirement Details of how legal constraint prevents requirement from being met
Modified
p. 24 → 32
(Select all that apply)
Modified
p. 24 → 32
PCI DSS Self-Assessment Questionnaire B, Version (version of SAQ), was completed according to the instructions therein.
PCI DSS Self-Assessment Questionnaire B, Version 4.0 was completed according to the instructions therein.
Modified
p. 24 → 32
All information within the above-referenced SAQ and in this attestation fairly represents the results of my assessment in all material respects.
All information within the above-referenced SAQ and in this attestation fairly represents the results of the merchant’s assessment in all material respects.
Removed
p. 25
ASV scans are being completed by the PCI SSC Approved Scanning Vendor (ASV Name).
Modified
p. 25 → 32
Part 3b. Merchant Attestation Signature of Merchant Executive Officer Date:
Part 3b. Merchant Attestation Signature of Merchant Executive Officer Date: YYYY-MM-DD Merchant Executive Officer Name: Title:
Modified
p. 25 → 32
Part 3c. Qualified Security Assessor (QSA) Acknowledgement (if applicable) If a QSA was involved or assisted with this assessment, describe the role performed:
Part 3c. Qualified Security Assessor (QSA) Acknowledgement If a QSA was involved or assisted with this assessment, indicate the role performed:
Modified
p. 25 → 32
Signature of Duly Authorized Officer of QSA Company Date:
Signature of Duly Authorized Officer of QSA Company Date: YYYY-MM-DD Duly Authorized Officer Name: QSA Company:
Modified
p. 25 → 32
Part 3d. Internal Security Assessor (ISA) Involvement (if applicable) If an ISA(s) was involved or assisted with this assessment, identify the ISA personnel and describe the role performed:
Part 3d. PCI SSC Internal Security Assessor (ISA) Involvement If an ISA(s) was involved or assisted with this assessment, indicate the role performed:
Removed
p. 26
Check with your acquirer or the payment brand(s) before completing Part 4.
Removed
p. 26
* PCI DSS Requirements indicated here refer to the questions in Section 2 of the SAQ.
Modified
p. 26 → 33
PCI DSS Requirement* Description of Requirement Compliant to PCI DSS Requirements (Select One) Remediation Date and Actions (If “NO” selected for any Requirement) YES NO 3 Protect stored cardholder data.
PCI DSS Requirement* Description of Requirement Compliant to PCI DSS Requirements (Select One) Remediation Date and Actions (If “NO” selected for any Requirement) YES NO 3 Protect stored account data Restrict access to system components and cardholder data by business need to know 9 Restrict physical access to cardholder data 12 Support information security with organizational policies and programs * PCI DSS Requirements indicated above refer to the requirements in Section 2 of this SAQ.