Is Your PCI DSS Compliance Program Working Correctly?

Use this Governance Checklist to ensure your enterprise employs the right strategy.
This internal controls questionnaire (ICQ) assists organizations through the completion of a Self-Assessment Questionnaire
with defining the scope of an audit or assurance engagement (SAQ). The topic of this assessment is the performance and
during the exploration phase of the process. Formal compliance appropriateness of the measures that are implemented to meet
with the Payment Card Industry Data Security Standard (PCI DSS) the PCI DSS standard, in the context of the enterprises overall
is carried out either by Qualified Security Assessors (QSAs) or strategy and objectives.

INTERNAL CONTROLS QUESTIONNAIRE

Response
Control Objectives/ Questions Comments COBIT 5 Reference
Yes No N/A

1.0 Development and Maintenance of a Program to Comply With the Standards Framework
1.1 The organization must include compliance with PCI DSS into the business strategy to set the tone-at-the-top.
Is PCI DSS compliance reflected in the enterprise strategy? EDM01
Is PCI DSS addressed as a business risk rather than IT risk? EDM03 / APO12
1.2 The board of directors and executive team must be accountable for the implementation and maintenance of a compliance program to meet PCI DSS requirements.
Is PCI DSS compliance an element considered while setting and calculating EDM03
incentives for the board of directors and executive team?
1.3 The organization must create and maintain a compliance program to meet PCI DSS requirements.
Is PCI DSS compliance part of the enterprise business goals? EDM02 / EDM03 /
EDM04
Is there a formal and documented strategy for achieving and sustaining EDM01 / APO01 /
PCI DSS compliance? APO02
Has the enterprise defined indicators to measure the compliance MEA01 / MEA03
program performance?
1.4 The PCI DSS Compliance Program should include a set of policies that guide employee behavior and performance to ensure that security is part of business as usual.
Are there defined and documented policies to ensure that employee behavior APO01 / APO13
supports PCI DSS compliance?
Is human resources involved in developing, distributing and enforcing PCI DSS- APO08
related employee policies?
Does the enterprise document employee acknowledgment of PCI DSS APO01 / APO13
compliance policies?
1.5 The PCI DSS Compliance Program should include continuous security training awareness plans to ensure that all employees understand the importance of
maintaining a secure environment to protect cardholder data.
Is there a formal process for training employees at time of hiring? APO07
Is there a formal process for training employees periodically and testing APO07 / BAI08
their understanding?
1.6 The PCI DSS Compliance Program must include plans to hire third-party assessors to evaluate the control environment and help the organization identify gaps and
level of compliance.
Does the enterprise have a formal process for contracting third-party APO10
PCI DSS assessors?
Does the enterprise have a formal process for managing the relationship with APO09
third-party PCI DSS assessors?
Is there documented criteria used to evaluate PCI DSS assessors as part of the APO09 / APO11
contracting process?
1.7 The PCI DSS Compliance Program must be updated at a minimum every year or every time there is a major change in the organizations operations, the IT infrastructure,
the PCI DSS requirements or the external environment.
Does the enterprise have a formal and documented process for updating the PCI EDM01 / APO01
DSS compliance program?
1.8 The organization must hire and retain employees qualified to implement and maintain the necessary controls to meet PCI DSS compliance.
Is there documented criteria used to evaluate PCI DSS job candidates as part of APO07
the hiring process?
Does the enterprise provide the necessary training to ensure that employee skills APO07 / BAI08
needed to support PCI DSS compliance are current?
 Response
Control Objectives/ Questions Comments COBIT 5 Reference
Yes No N/A

1.9 Service providers must be contractually obligated to comply with security requirements necessary to meet compliance.
Is compliance with PCI DSS part of the contractual and service level APO09 / APO10
agreement negotiations?
1.10 Service provider collaboration is recognized as a key success factor and the organization has established policies and procedures to select suppliers and manage
the supplier relationship and risk.
Does the enterprise have a documented process for vendor selection and APO09 / APO10
relationship management?
Is supplier risk part of the enterprise risk assessment process? APO09 / APO10 /
APO12
1.11 Service provider compliance is assessed periodically to ensure that the security perimeter has not been broken.
Is PCI DSS compliance assessment part of the contractual negotiations? APO09 / APO10 /
APO12
Is there a process for assessing third-party PCI DSS compliance? APO09 / APO10
2.0 Implementation of Controls to Meet the Standards Framework
2.1 The organization must determine the level of compliance required by the PCI Security Standards Council.
Is there a documented process to determine the compliance environment APO03 / APO13
and scope?
2.2 The organization must assess the current control environment and identify gaps that must be addressed to meet compliance with PCI DSS requirements.
Is there a documented process to conduct periodic security controls assessments APO13 / MEA01
to identify gaps and develop remediation plans?
2.3 The organization must create a controls framework and implement the necessary controls to meet compliance with PCI DSS.
Has the enterprise developed a security controls framework that includes controls APO01 / APO13
needed to meet PCI DSS compliance?
Is the security controls framework reviewed and updated to new requirements? APO01 / APO13
2.4 The organization must perform self-assessments at least once a year to ensure that controls are working as intended. Management must prepare remediation plans
to close any gaps or weaknesses identified by the self-assessment.
Is there a formal process to plan and execute PCI DSS compliance EDM03
self-assessments?
Are self-assessment results properly documented and shared with stakeholders? EDM05 / MEA03
3.0 Sustaining Compliance With the Standards Framework
3.1 The organization must develop and document standards and procedures that help ensure sustainability of the control environment to meet PCI DSS requirements.
Are policies and procedures developed in a way that compliance can be sustained APO01 / APO13
after it has been achieved?
3.2 Request to change IT infrastructure components (facilities, network, hardware or software) must be reviewed by management to ensure that changes will not
negatively impact the control environment.
Does the enterprise have a change management process that includes the BAI06
assessment of impact on PCI DSS components as part of the approval and
acceptance criteria?
3.3 Changes in the internal and external environment must be reviewed by management to determine the potential impact to the control environment. Management
must prepare remediation plans to address any negative impact resulting from changes.
Are changes that can impact the PCI DSS environment reviewed and approved BAI06 / BAI07
by management?
3.4 New application development must include plans to configure the necessary controls to comply with PCI DSS requirements.
Does the enterprise have a software development process that includes assessing BAI02 / BAI03
PCI DSS compliance as part of the development and acceptance requirements?
Is PCI DSS compliance part of new software testing plans? BAI07
3.5 The organization should engage third parties to perform penetration testing in a proactive way. Management must prepare remediation plans when penetration
testing identifies weaknesses.
Does the enterprise have a formal process for contracting third-party network APO10
penetration assessors?
Does the enterprise have a formal process for managing the relationship with APO09
third-party security assessors?
Is there documented criteria used to evaluate security assessors as part of the APO10 / APO11
contracting process?
Are network penetration testing results properly documented and shared EDM05 / MEA02
with stakeholders?

NOTE: This is not a PCI DSS controls assessment. This audit/assurance program has been developed to assess the development and maintenance of a strategy to
implement the necessary controls to achieve compliance.

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