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PCI-DSS-v3-2-1-AOC-ServiceProviders-r2.pdf
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PCI-DSS-v4-0-ROC-AOC-Service-Providers-r2.pdf
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Content Changes
42 content changes. 16 administrative changes (dates, page numbers) hidden.
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p. 2
PCI DSS v4.0 Attestation of Compliance for Report on Compliance
• Service Providers Entity Name:
Date of Report as noted in the Report on Compliance:
This AOC reflects the results documented in an associated Report on Compliance (ROC). Associated ROC sections are noted in each AOC Part/Section below.
Capitalized terms used but not otherwise defined in this document have the meanings set forth in the PCI DSS Report on Compliance Template.
Part 1. Contact Information Part 1a. Assessed Entity (ROC Section 1.1) Company name:
Company mailing address:
Company mailing address:
Company main website:
Company contact name:
Company contact title:
Contact phone number:
Contact e-mail address:
Part 1b. Assessor (ROC Section 1.1) Provide the following information for all assessors involved in the Assessment. If there was no assessor for a given assessor type, enter Not Applicable.
PCI SSC Internal Security Assessor(s) ISA name(s):
Assessor phone number:
Assessor e-mail address:
Assessor certificate number:
Describe system components that could impact the security of account data.
• Service Providers Entity Name:
Date of Report as noted in the Report on Compliance:
This AOC reflects the results documented in an associated Report on Compliance (ROC). Associated ROC sections are noted in each AOC Part/Section below.
Capitalized terms used but not otherwise defined in this document have the meanings set forth in the PCI DSS Report on Compliance Template.
Part 1. Contact Information Part 1a. Assessed Entity (ROC Section 1.1) Company name:
Company mailing address:
Company mailing address:
Company main website:
Company contact name:
Company contact title:
Contact phone number:
Contact e-mail address:
Part 1b. Assessor (ROC Section 1.1) Provide the following information for all assessors involved in the Assessment. If there was no assessor for a given assessor type, enter Not Applicable.
PCI SSC Internal Security Assessor(s) ISA name(s):
Assessor phone number:
Assessor e-mail address:
Assessor certificate number:
Describe system components that could impact the security of account data.
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p. 6
• System components that could impact the security of account data.
Indicate whether the environment includes segmentation to reduce the scope of the Assessment.
(Refer to the “Segmentation” section of PCI DSS for guidance on segmentation) Part 2d. In-Scope Locations/Facilities (ROC Section 4.6) List all types of physical locations/facilities (for example, corporate offices, data centers, call centers and mail rooms) in scope for this Assessment.
Indicate whether the environment includes segmentation to reduce the scope of the Assessment.
(Refer to the “Segmentation” section of PCI DSS for guidance on segmentation) Part 2d. In-Scope Locations/Facilities (ROC Section 4.6) List all types of physical locations/facilities (for example, corporate offices, data centers, call centers and mail rooms) in scope for this Assessment.
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Name of PCI SSC- validated Product or Version of Product or
PCI SSC Standard to which Product or Solution Was Validated
PCI SSC Listing Expiry Date of YYYY-MM-DD YYYY-MM-DD YYYY-MM-DD YYYY-MM-DD YYYY-MM-DD 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 on COTS (SPoC) solutions, and Contactless Payments on COTS (CPoC) solutions.
PCI SSC Standard to which Product or Solution Was Validated
PCI SSC Listing Expiry Date of YYYY-MM-DD YYYY-MM-DD YYYY-MM-DD YYYY-MM-DD YYYY-MM-DD 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 on COTS (SPoC) solutions, and Contactless Payments on COTS (CPoC) solutions.
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• Store, process, or transmit account data on the entity’s behalf (for example, payment gateways, payment processors, payment service providers (PSPs, and off-site storage))
• Manage system components included in the entity’s Assessment (for example, via network security control services, anti-malware services, security incident and event management (SIEM), contact and call centers, web-hosting companies, and IaaS, PaaS, SaaS, and FaaS cloud providers)
• Could impact the security of the entity’s CDE (for example, vendors providing support via remote access, and/or bespoke software developers).
• Manage system components included in the entity’s Assessment (for example, via network security control services, anti-malware services, security incident and event management (SIEM), contact and call centers, web-hosting companies, and IaaS, PaaS, SaaS, and FaaS cloud providers)
• Could impact the security of the entity’s CDE (for example, vendors providing support via remote access, and/or bespoke software developers).
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PCI DSS Requirement Requirement Finding More than one response may be selected for a given requirement. Indicate all responses that apply.
Select If Below Method(s) In Place Not Applicable Not Tested Not in Place Customized Compensating
For any Not Tested responses, identify which sub- requirements were not tested and the reason.
Section 2 Report on Compliance (ROC Sections 1.2 and 1.3.2) Date Assessment began: Note: This is the first date that evidence was gathered, or observations were made.
YYYY-MM-DD Date Assessment ended: Note: This is the last date that evidence was gathered, or observations were made.
YYYY-MM-DD Were any requirements in the ROC unable to be met due to a legal constraint? Yes No Were any testing activities performed remotely? If yes, for each testing activity below, indicate whether remote assessment activities were performed:
• Examine documentation Yes No
• Interview personnel Yes No
• Examine/observe live data Yes No
• Observe process being performed Yes No
• Observe physical …
Select If Below Method(s) In Place Not Applicable Not Tested Not in Place Customized Compensating
For any Not Tested responses, identify which sub- requirements were not tested and the reason.
Section 2 Report on Compliance (ROC Sections 1.2 and 1.3.2) Date Assessment began: Note: This is the first date that evidence was gathered, or observations were made.
YYYY-MM-DD Date Assessment ended: Note: This is the last date that evidence was gathered, or observations were made.
YYYY-MM-DD Were any requirements in the ROC unable to be met due to a legal constraint? Yes No Were any testing activities performed remotely? If yes, for each testing activity below, indicate whether remote assessment activities were performed:
• Examine documentation Yes No
• Interview personnel Yes No
• Examine/observe live data Yes No
• Observe process being performed Yes No
• Observe physical …
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PCI DSS controls will be maintained at all times, as applicable to the entity’s environment.
QSA performed testing procedures.
QSA provided other assistance. 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. If selected, describe all role(s) performed:
QSA performed testing procedures.
QSA provided other assistance. 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. If selected, describe all role(s) performed:
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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 entity expects to be compliant with the requirement and provide a brief description of the actions being taken to meet the requirement.
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September 2022 Revision 2 Updated to reflect the inclusion of UnionPay as a Participating Payment Brand.
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Part 1. Service Provider and Qualified Security Assessor Information Part 1a. Service Provider 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:
Business Address: City:
Business Address: City:
State/Province: Country: Zip:
State/Province: Country: Zip:
Lead QSA Contact Name: Title:
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Section 1: Assessment Information Instructions for Submission This Attestation of Compliance must be completed as a declaration of the results of the service provider’s assessment with the Payment Card Industry Data Security Standard Requirements and Security Assessment Procedures (PCI DSS). Complete all sections: The service provider is responsible for ensuring that each section is completed by the relevant parties, as applicable. Contact the requesting payment brand for reporting and submission procedures.
Section 1: Assessment Information Instructions for Submission This Attestation of Compliance (AOC) must be completed as a declaration of the results of the service provider’s assessment against the Payment Card Industry Data Security Standard (PCI DSS) Requirements and Testing Procedures (“Assessment”). Complete all sections. The service provider is responsible for ensuring that each section is completed by the relevant parties, as applicable. Contact the entity(ies) to which this AOC will be submitted for reporting and submission procedures.
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Qualified Security Assessor Company name:
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Managed Services (specify):
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Applications / software Infrastructure / Network Physical space (co-location) Security services 3-D Secure Hosting Provider Shared Hosting Provider Other Hosting (specify):
Applications / software Infrastructure / Network Physical space (co-location) Web-hosting services Security services 3-D Secure Hosting Provider Multi-Tenant Service Provider Other Hosting (specify):
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POI / card present Internet / e-commerce MOTO / Call Center Other processing (specify):
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Note: These categories are provided for assistance only, and are not intended to limit or predetermine an entity’s service description. If you feel these categories don’t apply to your service, complete “Others.” If you’re unsure whether a category could apply to your service, consult with the applicable payment brand.
Note: These categories are provided for assistance only and are not intended to limit or predetermine an entity’s service description. If these categories do not apply to the assessed service, complete “Others.” If it is not clear whether a category could apply to the assessed service, consult with the entity(ies) to which this AOC will be submitted.
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Managed Services (specify):
Part 2c. Locations List types of facilities (for example, retail outlets, corporate offices, data centers, call centers, etc.) and a summary of locations included in the PCI DSS review.
Example: Retail outlets 3 Boston, MA, USA
Part 2c. Locations List types of facilities (for example, retail outlets, corporate offices, data centers, call centers, etc.) and a summary of locations included in the PCI DSS review.
Example: Retail outlets 3 Boston, MA, USA
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Applications / software Hardware Infrastructure / Network Physical space (co-location) Storage Web Security services 3-D Secure Hosting Provider Shared Hosting Provider Other Hosting (specify):
Applications / software Infrastructure / Network Physical space (co-location) Web-hosting services Security services 3-D Secure Hosting Provider Multi-Tenant Service Provider Other Hosting (specify):
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POI / card present Internet / e-commerce MOTO / Call Center Other processing (specify):
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Provide a brief explanation why any checked services were not included in the assessment:
Provide a brief explanation why any checked services were not included in the Assessment:
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Part 2b. Description of Payment Card Business Describe how and in what capacity your business stores, processes, and/or transmits cardholder data.
Part 2b. Description of Role with Payment Cards (ROC Section 2.1) Describe how the business stores, processes, and/or transmits account data.
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Describe how and in what capacity your business is otherwise involved in or has the ability to impact the security of cardholder data.
Describe how the business is otherwise involved in or has the ability to impact the security of its customers’ account data.
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Type of facility: Number of facilities of this type Location(s) of facility (city, country):
Facility Type Total Number of (How many locations of this type are in scope) Location(s) of Facility (city, country) Example: Data centers 3 Boston, MA, USA
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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.
Does your business use network segmentation to affect the scope of your PCI DSS environment? (Refer to “Network Segmentation” section of PCI DSS for guidance on network segmentation)
Does your business use network segmentation to affect the scope of your PCI DSS environment? (Refer to “Network Segmentation” section of PCI DSS for guidance on network segmentation)
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• Connections into and out of the cardholder data environment (CDE).
• Critical system components within the CDE, such as
• Critical system components within the CDE, such as POI devices, databases, web servers, etc., and any other necessary payment components, as applicable.
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Does your company have a relationship with one or more 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.) for the purpose of the services being validated? Name of service provider: Description of services provided:
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• The requirement and all sub-requirements of that requirement were assessed, and no sub- requirements were marked as “Not Tested” or “Not Applicable” in the ROC.
• One or more sub-requirements of that requirement were marked as “Not Tested” or “Not Applicable” in the ROC.
• All sub-requirements of that requirement were marked as “Not Tested” and/or “Not Applicable” in the ROC.
For all requirements identified as either “Partial” or “None,” provide details in the “Justification for Approach” column, including:
• Details of specific sub-requirements that were marked as either “Not Tested” and/or “Not Applicable” in the ROC
• Reason why sub-requirement(s) were not tested or not applicable
• One or more sub-requirements of that requirement were marked as “Not Tested” or “Not Applicable” in the ROC.
• All sub-requirements of that requirement were marked as “Not Tested” and/or “Not Applicable” in the ROC.
For all requirements identified as either “Partial” or “None,” provide details in the “Justification for Approach” column, including:
• Details of specific sub-requirements that were marked as either “Not Tested” and/or “Not Applicable” in the ROC
• Reason why sub-requirement(s) were not tested or not applicable
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Justification for Approach For any Not Applicable responses, identify which sub- requirements were not applicable and the reason.
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Section 2: Report on Compliance This Attestation of Compliance reflects the results of an onsite assessment, which is documented in an accompanying Report on Compliance (ROC).
The assessment documented in this attestation and in the ROC was completed on:
Have compensating controls been used to meet any requirement in the ROC? Yes No Were any requirements in the ROC identified as being not applicable (N/A)? Yes No Were any requirements not tested? Yes No Were any requirements in the ROC unable to be met due to a legal constraint? Yes No
Compliant but with Legal exception: One or more requirements are marked “Not in Place” due to a legal restriction that prevents the requirement from being met. This option requires additional review from acquirer or payment brand.
(Check all that apply) The ROC was completed according to the PCI DSS Requirements and Security Assessment Procedures, Version (version number), and was completed according to the …
The assessment documented in this attestation and in the ROC was completed on:
Have compensating controls been used to meet any requirement in the ROC? Yes No Were any requirements in the ROC identified as being not applicable (N/A)? Yes No Were any requirements not tested? Yes No Were any requirements in the ROC unable to be met due to a legal constraint? Yes No
Compliant but with Legal exception: One or more requirements are marked “Not in Place” due to a legal restriction that prevents the requirement from being met. This option requires additional review from acquirer or payment brand.
(Check all that apply) The ROC was completed according to the PCI DSS Requirements and Security Assessment Procedures, Version (version number), and was completed according to the …
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Section 3: Validation and Attestation Details Part 3. PCI DSS Validation This AOC is based on results noted in the ROC dated (ROC completion date).
Section 3 Validation and Attestation Details Part 3. PCI DSS Validation (ROC Section 1.7) This AOC is based on results noted in the ROC dated (Date of Report as noted in the ROC YYYY-MM- DD).
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Based on the results documented in the ROC 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 ROC noted above, each signatory identified in any of Parts 3b-3d, as applicable, assert(s) the following compliance status for the entity identified in Part 2 of this document (select one):
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Compliant: All sections of the PCI DSS ROC are complete, all questions answered affirmatively, resulting in an overall COMPLIANT rating; thereby (Service Provider Company Name) has demonstrated full compliance with the PCI DSS.
Compliant: All sections of the PCI DSS ROC are complete, and all assessed requirements are marked as being either In Place or Not Applicable, resulting in an overall COMPLIANT rating; thereby (Service Provider Company Name) has demonstrated compliance with all PCI DSS requirements except those noted as Not Tested above.
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Non-Compliant: Not all sections of the PCI DSS ROC are complete, or not all questions are answered affirmatively, resulting in an overall NON-COMPLIANT rating, thereby (Service Provider Company Name) has not demonstrated full compliance with the PCI DSS.
Non-Compliant: Not all sections of the PCI DSS ROC are complete, or one or more requirements are marked as Not in Place, resulting in an overall NON-COMPLIANT rating; thereby (Service Provider Company Name) has not demonstrated compliance with PCI DSS requirements.
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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 the payment brand(s) before completing Part 4.
Target Date for Compliance: YYYY-MM-DD An entity 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.
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If checked, complete the following:
If selected, complete the following:
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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
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All information within the above-referenced ROC and in this attestation fairly represents the results of my assessment in all material respects.
All information within the above-referenced ROC and in this attestation fairly represents the results of the Assessment in all material respects.
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Part 3b. Service Provider Attestation Signature of Service Provider Executive Officer Date: YYYY-MM-DD Service Provider Executive Officer Name: Title:
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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:
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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:
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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:
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Check with the applicable payment brand(s) before completing Part 4.
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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 1 Install and maintain a firewall configuration to protect cardholder data Do not use vendor-supplied defaults for system passwords and other security parameters 3 Protect stored cardholder data 4 Encrypt transmission of cardholder data across open, public networks Protect all systems against malware and regularly update anti-virus software or programs 6 Develop and maintain secure …
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 1 Install and maintain network security controls 2 Apply secure configurations to all system components 3 Protect stored account data Protect cardholder data with strong cryptography during transmission over open, public networks 5 Protect all systems and networks from malicious software 6 Develop and maintain secure systems and software 7 Restrict access to system components …