Proprietary & Confidential

System Description of the
Confluent Cloud System

SOC 3
Relevant to Security, Availability, and Confidentiality

JANUARY 1, 2022 TO DECEMBER 31, 2022

Table of Contents
Independent Service Auditor’s Report1

Confluent’s Assertion

4

Confluent’s Description of the Boundaries of the Confluent Cloud
System

5

A. System Overview

51.

Services Provided

2.

Infrastructure

7

3.

Software15

4.

People

16

5.

Data

17

6.

Processes and Procedures

17

5

B. Principal Service Commitments and System Requirements

18

C. Complementary Subservice Organization Controls

18

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Independent Service Auditor’s Report

Confluent, Inc.
899 West Evelyn
Mountain View, CA 94041
To the Management of Confluent:

Scope
We have examined Confluent’s accompanying assertion in Section II titled “Confluent’s Assertion"(assertion) that the controls within Confluent’s Cloud System (system) were effective throughout theperiod January 1, 2022 to December 31, 2022, to provide reasonable assurance that Confluent’s
service commitments and system requirements were achieved based on the trust services criteria
relevant to Security, Availability, and Confidentiality (applicable trust services criteria) set forth in TSP
Section 100, 2017 Trust Services Criteria for Security, Availability, Processing Integrity,
Confidentiality, and Privacy (AICPA, Trust Services Criteria).
Confluent uses the following subservice organizations:

Amazon Web Services for managed hosting services of its infrastructure, software, and dataMicrosoft Azure for managed hosting services of its infrastructure, software, and data

Google Cloud Platform for managed hosting services of its infrastructure, software, and data

The description indicates that complementary subservice organization controls that are suitably
designed and operating effectively are necessary, along with controls at Confluent, to achieve
Confluent's service commitments and system requirements based on the applicable trust services
criteria. The description presents the types of complementary subservice organization controls
assumed in the design of Confluent's controls. The description does not disclose the actual controls
at the subservice organization. Our examination did not include the services provided by thesubservice organizations, and we have not evaluated the suitability of the design or operating
effectiveness of such complementary subservice organization controls.

Service Organization’s Responsibilities
Confluent is responsible for its service commitments and system requirements and for designing,
implementing, and operating effective controls within the system to provide reasonable assurance
that Confluent’s service commitments and system requirements were achieved. Confluent has also
provided the accompanying assertion about the effectiveness of controls within the system. When
preparing its assertion, Confluent is responsible for selecting, and identifying in its assertion, theapplicable trust services criteria and for having a reasonable basis for its assertion by performing anassessment of the effectiveness of the controls within the system.

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Independent Service Auditor’s Report

Service Auditor’s Responsibilities
Our responsibility is to express an opinion, based on our examination, on whether management’s
assertion that controls within the system were effective throughout the period to provide reasonableassurance that the service organization’s service commitments and system requirements wereachieved based on the applicable trust services criteria. Our examination was conducted inaccordance with attestation standards established by the American Institute of Certified Public
Accountants (AICPA). Those standards require that we plan and perform our examination to obtainreasonable assurance about whether management’s assertion is fairly stated, in all material respects.
We believe that the evidence we obtained is sufficient and appropriate to provide a reasonable basis
for our opinion.
Our examination included:
Obtaining an understanding of the system and the service organization’s service commitments
and system requirements

Assessing the risks that controls were not effective to achieve Confluent’s service commitments
and system requirements based on the applicable trust services criteria

Performing procedures to obtain evidence about whether controls within the system wereeffective to achieve Confluent’s service commitments and system requirements based theapplicable trust services criteria

Our examination also included performing such other procedures as we considered necessary in thecircumstances.
We are required to be independent and to meet our other ethical responsibilities in accordance with
relevant ethical requirements relating to the engagement.

Inherent Limitations
There are inherent limitations in the effectiveness of any system of internal control, including thepossibility of human error and the circumvention of controls.
Because of their nature, controls may not always operate effectively to provide reasonable assurance
that the service organization’s service commitments and system requirements were achieved basedon the applicable trust services criteria. Also, the projection to the future of any conclusions about theeffectiveness of controls is subject to the risk that controls may become inadequate because ofchanges in conditions or that the degree of compliance with the policies or procedures may
deteriorate.

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Independent Service Auditor’s Report

OpinionIn our opinion, management’s assertion that the controls within Confluent’s Cloud System wereeffective throughout the period January 1, 2022 to December 31, 2022, to provide reasonableassurance that Confluent’s service commitments and system requirements were achieved based on
the applicable trust services criteria is fairly stated, in all material respects.

San Francisco, California
March 28, 2023

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Confluent’s Assertion
We are responsible for designing, implementing, operating, and maintaining effective controls within
Confluent’s Cloud System (system) throughout the period January 1, 2022 to December 31, 2022 toprovide reasonable assurance that Confluent’s service commitments and system requirements
relevant to Security, Availability, and Confidentiality were achieved. Our description of the boundariesof the system is presented in Section III titled “Confluent’s Description of the Boundaries of the
Confluent Cloud System” and identifies the aspects of the system covered by our assertion.
We have performed an evaluation of the effectiveness of the controls within the system throughout
the period January 1, 2022 to December 31, 2022, to provide reasonable assurance that Confluent’s
service commitments and system requirements were achieved based on the trust services criteria
relevant to Security, Availability, and Confidentiality (applicable trust services criteria) set forth in TSP
Section 100, 2017 Trust Services Criteria for Security, Availability, Processing Integrity,
Confidentiality, and Privacy (AICPA, Trust Services Criteria). Confluent’s objectives for the system inapplying the applicable trust services criteria are embodied in its service commitments and system
requirements relevant to the applicable trust services criteria. The principal service commitments andsystem requirements related to the applicable trust services criteria are presented in Section III titled“Confluent’s Description of the Boundaries of the Confluent Cloud System”.
Confluent uses the following subservice organizations:

Amazon Web Services for managed hosting services of its infrastructure, software, and dataMicrosoft Azure for managed hosting services of its infrastructure, software, and data

Google Cloud Platform for managed hosting services of its infrastructure, software, and data

The description indicates that complementary subservice organization controls that are suitably
designed and operating effectively are necessary, along with controls at Confluent, to achieve
Confluent’s service commitments and system requirements based on the applicable trust services
criteria. The description presents the types of complementary subservice organization controls
assumed in the design of Confluent’s controls. The description does not disclose the actual controls
at the subservice organization(s).
There are inherent limitations in any system of internal control, including the possibility of human error
and the circumvention of controls. Because of these inherent limitations, a service organization may
achieve reasonable, but not absolute, assurance that its service commitments and system
requirements are achieved.
We assert that the controls within the system were effective throughout the period January 1, 2022 to
December 31, 2022, to provide reasonable assurance that Confluent’s service commitments andsystem requirements were achieved based on the applicable trust services criteria.

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Confluent’s Description of the Boundaries of the Confluent
Cloud System
A. System Overview
1. Services Provided
COMPANY OVERVIEW
Confluent was founded by the team that built Apache Kafka. Apache Kafka is a communitydistributed, event-streaming platform capable of handling trillions of events a day. Initiallyconceived as a messaging queue, Kafka is based on an abstraction of a distributed commit log.
Since being created and open sourced by LinkedIn in 2011, Kafka has quickly evolved from amessaging queue to a full-fledged event streaming platform. Confluent delivers the mostcomplete distribution of Kafka with the Confluent Cloud System (Confluent Cloud). Confluent
Cloud improves Kafka with additional community and commercial features designed to enhance
the streaming experience of both operators and developers in production, at massive scale.
Confluent provides a streaming platform that enables companies to access data as real-timestreams. Confluent is headquartered in Mountain View, CA with additional offices in San
Francisco, CA and London, UK, and remote workers at various locations. Currently, Confluent
employs approximately 2,200 employees across these locations.
Confluent believes every byte of data has a story to tell, something of significance that informs
the next thing to be done. In a data-driven enterprise, how data moves is nearly as important as
the data itself. With greater speed and agility, data’s value increases exponentially.

SYSTEM DESCRIPTION
Confluent Cloud is comprised of the following components:

Confluent Cloud Console™ – A comprehensive management and monitoring system for
Apache Kafka. Control Console provides:○

The ability to monitor and manage clusters from a rich user interface○

The ability to quickly scan through clusters for anomalies and track down messages totheir sources○

Full integration with connectors, allowing users to manage data pipelines without a line ofcode○

The delivery of real-time analysis of the performance of Kafka○

The ability to drill into topics, producers, consumers, and more to understand the activity
within their data pipelines enabling organizations to govern a growing ecosystem of
stream data applications

Kafka – Apache Kafka® is a distributed streaming platform that:○

Publishes and subscribes to streams of records, similar to a message queue orenterprise messaging system○

Stores streams of records in a fault-tolerant durable way○

Processes streams of records as they occur

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Confluent’s Description of the Boundaries of the Confluent Cloud SystemKafka Connect – Provides organizations and users with a framework that integrates Kafka
with other systems to make it easy to add new systems to scalable and secure stream data
pipelines. Connectors translate data between Kafka and other systems, while supporting avariety of data formats and lightweight inline transformations. The following connectors aredeveloped, tested, documented, and fully supported by Confluent Cloud:○

Active MQ Connector (Source)○

Amazon S3 (Sink)○

Confluent Replicator (Source & Sink)○

Elasticsearch (Sink)○

Filestream Connector (Source & Sink)○

IBM MQ Connector (Source)○

HDFS (Sink)○

JDBC (Source & Sink)○

JMS (Source)

Additional supported connectors may be installed separately via Confluent Hub.
ksqlDB – ksqlDB is the streaming SQL engine for Kafka. It provides an easy-to-use yet
powerful interactive SQL interface for stream processing on Kafka, without the need to write
code in a programming language such as Java or Python. ksqlDB is scalable, elastic, faulttolerant, and real-time. It supports a wide range of streaming operations, including datafiltering, transformations, aggregations, joins, windowing, and sessionization.



Schema Registry – The Confluent Schema Registry provides a serving layer for metadata.
Specifically, it provides a RESTful interface for storing and retrieving Avro®, JSON Schema,
and Protobuf schemas. It stores a versioned history of schemas based on a specified subject
name strategy, provides multiple compatibility settings and allows evolution of schemas
according to the configured compatibility settings and expanded support for these schema
types. It also provides serializers that plug into Apache Kafka® clients to handle schemastorage and retrieval for Kafka messages sent in any of the supported formats.

Confluent Health+ - Confluent Health+ allows users to monitor and manage the Confluent
Cloud environment, ensuring the health of clusters and minimizing business disruption withintelligent alerts, monitoring, and proactive support based on best practices created by theinventors Apache Kafka®.

CONFLUENT CLOUD PRODUCTS AND SERVICES
The Confluent Cloud product provides customers with the distribution of the Confluent
technology, inclusive of Apache Kafka, as a service in the public cloud, simplifying engineering
operations and administration of Kafka clusters and related services such as KSQL, Connect, andSchema Registry. Deployed in minutes, it is a streaming data service for the cloud-first developer
on a mission or the operations-starved organization. It complements Apache Kafka withadministration, monitoring, and management tools. Confluent Cloud is comprised of the following
components:


Kafka – Confluent Cloud provides an API-based service for the latest, stable Apache Kafka
version. Confluent handles the upgrades on behalf of its customers and provides it in aseamless fashion.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

Customer Support (optional) – Full support for the range of products offered by Confluent,
including Java, Python, C / C++, Go, .NET, as well as the Kafka Streams API.

Managed Service – Remove the operations burden with a fully Confluent-managed cloudservice.
○

Clusters can be created and destroyed on-demand, in any cloud region the service isoffered, with any configuration of throughput available; and,○API keys for access to each cluster are self-managed and completely under customers’
control.

○Role-Based Access Control protects Confluent Cloud resources and data by authorizing
and restricting access of user and service accounts and by delegating accessauthorization to the appropriate business units and teams in an organization○

Audit Events capture event records from auditable event methods for Kafka cluster event
categories and organization event categories○

Metrics API supports a diverse set of querying patterns to support usage andperformance analysis over time○

Public and Private Networking allows access to clusters through secure internet
endpoints, Private Link connections, VPC/VNet peering, or AWS Transit Gateway,
according to cluster type. All connections to Confluent Cloud are encrypted with TLS andrequire authentication using API keys.

Confluent Cloud offers the following features:Performance – Highest throughput rate of any streaming data service. Standard plans andcustom plans are available for scales up to 1GBs ingest and 2GBs egress.



Reliability – Optional support for high availability across multiple Availability Zones isavailable. The service comes with a 99.95 percent service level agreement.

Flexibility – Configurable retention period, storage, and throughput rate to suit customer
workloads.



Kafka Expertise – Support provided by the team that created Kafka and that has the mostextensive experience operating it at scale.

SYSTEM BOUNDARIES
Included within the scope of this report are the production systems, infrastructure, software,
people, procedures, and data supporting Confluent Cloud and the hosted Confluent Cloudenvironment. This report is specific to the Confluent Cloud System, and does not include theConfluent Platform.

2. Infrastructure
Confluent Cloud is designed, implemented, and operated to achieve specific business objectives
in accordance with management-specified requirements. The purpose of the system description
is to delineate the boundaries of the system, which include the services outlined above and thecomponents described below.
Infrastructure for Confluent Cloud is unique and delimited. People, policies, procedures, and data
are shared across Confluent Cloud’s boundaries and described below:

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Confluent’s Description of the Boundaries of the Confluent Cloud System

CONFLUENT CLOUD INFRASTRUCTURE: OVERVIEW
Confluent utilizes cloud service providers AWS, Azure, and GCP for its computing platforms,
network technologies, and internal global infrastructure. The system components of Confluent
Cloud are hosted within the cloud service provider and region selected by customers. Confluent
Cloud primarily uses Alpine Linux and Debian operating systems in AWS, Azure, and GCP to
support the infrastructure systems supporting Confluent Cloud. See Error! Reference source
not found. for the Technical Overview Diagram.
To facilitate operation of Confluent Cloud, Confluent uses the following AWS services:AWS Service

Function

Amazon Application
Load Balancer (ALB)

Amazon ALB operates at the request level (layer 7), routing traffic to targets(EC2 instances, containers, IP addresses, and Lambda functions) based on thecontent of the request.

Amazon CloudFront

Amazon CloudFront is a fast content delivery network (CDN) service thatdelivers data, videos, applications, and APIs to customers globally with low
latency and high transfer speeds.

Amazon CloudWatch

Amazon CloudWatch provides monitoring for AWS cloud resources andapplications. Amazon CloudWatch provides visibility into resource utilization,
operational performance, and overall demand patterns—including metrics suchas utilization, disk reads and writes, and network traffic.

Amazon DynamoDB

Amazon DynamoDB is a fully managed proprietary NoSQL database service
that supports key–value and document data structures. DynamoDB uses
synchronous replication across multiple data centers for high durability andavailability.

Amazon Elastic Block
Storage (EBS)

Amazon EBS provides block level storage volumes for use with EC2 instances.
EBS volumes that are attached to an instance are exposed as storage volumes
that persist independently from the life of the instance.

Amazon ElastiCache

Amazon ElastiCache allows users to seamlessly set up, run, and scale popularopen-source compatible in-memory data stores in the cloud.

Amazon Elastic
Container Registry(ECR)

Amazon ECR is a container registry used to store, manage, share, and deploy
container images and artifacts.

Amazon Elastic
Compute Cloud (EC2)Amazon EC2 provides a virtual computing environment that uses web service
interfaces to perform the following functions:●●●

Launch instances of operating systems.
Create Amazon Machine Images (AMI) containing applications, libraries,
data, and associated configuration settings.
Configure security and network access on the EC2 instances.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

AWS Service

Function

Amazon Elastic
Kubernetes Service(Amazon EKS)

Amazon EKS provides the flexibility to start, run, and scale Kubernetes
applications in the AWS cloud. Amazon EKS provides highly available andsecure clusters and automates key tasks such as patching, node provisioning,
and updates.

Amazon Elastic Load
Balancing (ELB)

Amazon ELB automatically distributes incoming application traffic acrossmultiple targets, such as Amazon EC2 instances, containers, IP addresses,
Lambda functions, and virtual appliances.

Amazon ElasticsearchService

Amazon Elasticsearch Service is a fully managed service used to deploy,secure, and run Elasticsearch.

AWS Global
Accelerator

AWS Global Accelerator is a networking service that improves the performanceof users' traffic using Amazon Web Services' global network infrastructure.

Amazon Network
Load Balancer (NLB)

Amazon NLB is optimized to handle sudden and volatile traffic patterns while
using a single static IP address per Availability Zone.

Amazon OpenSearchAmazon OpenSearch provides a highly scalable system for providing fastaccess and response to large volumes of data with an integrated visualization
tool that makes it easy for users to explore their data.

AWS PrivateLink(feature of EC2)AWS PrivateLink provides private connectivity between VPCs, AWS services,and the on-premises networks, without exposing traffic to the public internet.

Amazon Relational
Database Service(RDS)

Amazon RDS is a web service used to operate relational databases in the AWS
cloud.

Amazon Route 53

Amazon Route 53 is a Domain Name System (DNS) web service.

Amazon Simple
Notification Service(SNS)

Amazon SNS is a notification service that provides infrastructure for the massdelivery of messages.

Amazon Simple
Queue Service (SQS)

Amazon SQS is a message queue service used to exchange messages
through a polling model, and can be used to decouple sending and receiving
components.

Amazon Simple
Storage Service (S3)Amazon S3 is virtual storage used in conjunction with Amazon EC2 to store
object data. Amazon S3 is also used to automatically replicate data acrossAWS regions.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

AWS Service

Function

Amazon Virtual
Private Cloud (VPC)

Amazon VPC is used to provision logically isolated virtual networks in the AWS
cloud. Amazon VPC is used to manage the virtual networking environment,
including selection of IP address ranges, creation of subnets, and configurationof route tables and network gateways.

AWS CloudTrailAWS CloudTrail provides event history of AWS account activity, including
actions taken through the AWS Management Console, AWS SDKs, commandline tools, and other AWS services.

AWS GuardDuty

Amazon GuardDuty is a threat detection service that continuously monitors formalicious activity and unauthorized behaviors to protect AWS accounts,
workloads, and data stored in Amazon S3.

AWS Identity andAccess Management(IAM)

AWS IAM enables users to manage access to AWS services and resources
securely. Using IAM, users can create and manage AWS users and groups,
and use permissions to allow and deny their access to AWS resources.

AWS KeyManagement Service(KMS)

AWS KMS makes it easy to create and manage cryptographic keys and control
their use across a wide range of AWS services.

AWS Shield Advanced

AWS Shield is a managed DDoS protection service that safeguards
applications running on AWS.

AWS Web Application
Firewall (WAF)

AWS WAF is a web application firewall that helps protect web applications orAPIs against common web exploits and bots that may affect availability,
compromise security, or consume excessive resources.

Refer to Error! Reference source not found. for the AWS Data Flow Diagram below for an
overview of AWS services within the Confluent environment. Similar data flows exist for Azure
and GCP.
To facilitate operation of Confluent Cloud, Confluent uses the following Microsoft Azure services:

Azure Service

FunctionAzure Active
Directory (AD)Azure AD enterprise identity service provides single sign-on and multi-factor
authentication to help protect users from cybersecurity attacks.

Azure Application
Gateway

Azure Application Gateway is a web traffic load balancer that enables traffic
management on web applications.

Azure Container
Registry

Azure Container Registry provides a managed, private Docker registry service
for building, storing, and managing container images and artifacts for all typesof container deployments

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Confluent’s Description of the Boundaries of the Confluent Cloud System

Azure Service

FunctionAzure Database for
PostgreSQL

Azure Database for PostgreSQL provides a relational database service basedon the open-source Postgres database engine.

Azure DNS

Azure DNS provides the scale and redundancy to give users ultra-highavailability for over domains.

Azure Kubernetes
Service (AKS)

Azure AKS is a container orchestration service used to deploy, scale, andmanage Docker containers and container-based applications in a cluster
environment.

Azure Load Balancer

Azure Load Balancer delivers high availability and network performance toapplications.

Azure Monitor

Azure Monitor is a monitoring solution that provides visibility into application,
infrastructure and network performance to identify problems in real time.

Azure Blob Storage

Azure Blob Storage is an object storage solution for the cloud.

Azure Container
Instances

Azure Container Instances run Docker containers on-demand in a managed,
serverless Azure environment.

Azure Content
Delivery Network(CDN)

Azure CDN is a global CDN solution for delivering high-bandwidth content.

Azure Database for
MySQL

Azure Database for MySQL is a relational database service powered by the
MySQL community edition.

Azure Event Grid

Azure Event Grid allows you to easily build applications with event-basedarchitectures

Azure SQL Database

Azure SQL Database is a fully managed platform as a service (PaaS) databaseengine that handles most of the database management functions such as
upgrading, patching, backups, and monitoring without user involvement.

Azure Traffic Manager

Azure Traffic Manager is a DNS-based traffic load balancer.

Azure Security Center

Azure Security Center provides unified security management and advanced
threat protection across hybrid cloud workloads.

Azure Virtual
Machines

Azure Virtual Machines allow users to provision Windows or Linux in seconds,
operate seamlessly in hybrid environments, and protect data and monitor cloudhealth.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

Azure Service

FunctionAzure Virtual Network

Azure Virtual Network provides an isolated and highly secure environment torun virtual machines and applications.

To facilitate operation of Confluent Cloud, Confluent uses the following GCP services:

GCP Service

Function

Google App Engine

Google App Engine is a cloud computing platform as a service for developing
and hosting web applications in Google-managed data centers.

Google BigQuery

Google BigQuery is a serverless, highly scalable, and cost-effective multi-clouddata warehouse designed for business agility.

Google Cloud Audit
Logs

Google Cloud Audit Logs provide audit logs for each Cloud project, folder, andorganization.

Google Cloud CDN

Google Cloud CDN enables customers to deliver content over Google's highperformance distributed edge caching infrastructure.

Google Cloud DNS

Google Cloud DNS is a reliable, resilient, low-latency DNS serving from
Google's worldwide network.

Google Cloud Identityand Access
Management (IAM)

Google IAM is a fine-grained access control and visibility for centrally managing
cloud resources.

Google Cloud Load
Balancing

Google Cloud Load Balancing is a high performance, scalable load balancing
on Google Cloud Platform.

Google CloudOperations Suite

Google Cloud Operations Suite provides metrics for migration components

Google Cloud
SQL/Cloud Spanner

Google Cloud SQL/Cloud Spanner is a fully managed relational databaseservice for MySQL, PostgreSQL, and SQL Server

Google Cloud Storage

Google Cloud Storage provides object storage in the cloud.

Google Container
Registry

Google Container Register is used to store, manage, and secure Docker
container images.

Google Compute
EngineGoogle Compute Engine lets users create and run virtual machines on Google
infrastructure.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

GCP Service

Function

Google Event Threat
Detection

Google Event Threat Detection monitors organization's Cloud Logging stream
and detects threats in near-real time.

Google Kubernetes
Engine (GKE)GKE provides a managed environment for deploying, managing, and scaling
containerized applications using Google infrastructure.

Google Pub/Sub

Google Pub/Sub is an asynchronous and scalable messaging service that
decouples services producing messages from services processing thosemessages to reduce latencies.

Google Security
Command Center

Google Security Command Center is a Security and risk management platform
for Google Cloud.

Google Virtual Private
Cloud

Google Virtual Private Cloud is a managed networking functionality for Google
Cloud resources.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

FIGURE 1: TECHNICAL OVERVIEW DIAGRAMPROPRIETARY AND CONFIDENTIAL|

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Confluent’s Description of the Boundaries of the Confluent Cloud System

FIGURE 2: AWS DATA FLOW DIAGRAM

3. Software
Confluent has various software programs and tools used to support Confluent Cloud, with key
programs listed below:

Vendor Software

Function

Auth0

The Auth0 Customer Identity Management service is a third-party solution to
add authentication and authorization services to web applications.

Chef

Chef is a configuration management tool used to streamline the task ofconfiguring and maintaining servers.

Datadog

Datadog is a monitoring service for cloud-scale applications, providing
monitoring of servers, databases, tools, and services, through a SaaS-based
data analytics platform.

GitHub

GitHub provides hosting for software development version control using Git.
GitHub provides access control and several other collaboration features suchas bug tracking, feature requests, task management, and wikis for all projects.

HashiCorp Vault

HashiCorp Vault is an encryption service with centralized key management.

Jenkins

Jenkins is an open-source automation server that enables developers to build,
test, and deploy their software.

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Confluent’s Description of the Boundaries of the Confluent Cloud System

Vendor Software

Function

Jira

Jira is an issue tracking and project management tool.

Kubernetes

An open-source system for automating deployment, scaling, and managementof containerized applications.

Okta

Okta is an identity and access management platform providing cloud softwarethat helps companies manage and secure user authentication into modern
applications.

PagerDuty

PagerDuty is a cloud-based alerting and on-call monitoring software.

Salesforce

Salesforce is a customer relationship management tool and integrated CRM
platform.

Terraform

A cloud agnostic tool that allows a single configuration to be used to manage
multiple providers, and to even handle cross-cloud dependencies.

4. People
Confluent is organized in the following functional areas:Business Systems – Responsible for helping Confluent operate as a data-driven, strategic,
and efficient company. This group also includes the internal IT group responsible for IT
support at a corporate level.

Engineering – Responsible for the engineering functions across Confluent products. This
group is also responsible for maintaining and developing infrastructure components
supporting the Confluent suite of products.

Finance – Responsible for the oversight of financial processes for Confluent including fees,
internal finance, and budgeting.

Global Technical Support – Responsible for providing customer service, support, and training
to Confluent customers.



Growth and Marketing – Responsible for the promotion and demand creation for Confluent
products and services.



Information Technology (IT) – Responsible for managing and supporting IT systems,
onboarding and offboarding processes and asset management functions.



Legal – Responsible for providing legal advice to foster sound decision-making for
Confluent’s operations.



People Operations and Recruiting – Responsible for ensuring that Confluent attracts, hires,develops, and retains the best talent to fuel business growth.

Product – Responsible for designing the systems and planning feature updates,
enhancements, and bug fixes based on customer and internal requests.

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Confluent’s Description of the Boundaries of the Confluent Cloud SystemSecurity Steering Committee – Responsible for the oversight of internal control and includes
members independent from control operators.

Trust, Security, and Reliability – Responsible for security and compliance efforts, including
production, client-facing, corporate information assets, and data.

5. Data
Confluent Cloud processes and stores only data associated with the Kafka clusters eachcustomer elects to deploy. Confluent may also record, store, and access metadata associatedwith each customer’s Kafka clusters to further improve performance and make feature updates tofuture releases. Further, customers are required to provide either an email address and password
to provision their account and operate the web front-end or utilize a single sign-on integration.
Customer data is stored in AWS, Azure, or GCP block and cloud object storage instances.

6. Processes and Procedures
Confluent has developed and communicated to its personnel procedures to protect service data
and the company’s assets. Teams are expected to adhere to Confluent policies and proceduresthat define data is protected through rules and requirements. These are located on the company’s
intranet and shared drive and can be accessed by any Confluent employee.
The policies and standards used to safeguard Confluent Cloud include:Acceptable Use PolicyAccess Management StandardAsset Management StandardBusiness Continuity and Disaster Recovery Plan

Cloud Permissions ProcedureCloud Security StandardConfiguration Management Standard

Cryptography StandardData Classification and Handling Standard

Information Security PolicyIssue Management Standard



Logging and Monitoring Standard

Mobile Device Management Standard

Risk Management StandardSecurity Incident Response StandardSecure System Development StandardVendor Management StandardVulnerability Management Standard

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Confluent’s Description of the Boundaries of the Confluent Cloud System

B. Principal Service Commitments and System Requirements
Confluent communicates operational requirements to support the achievement of security, availability,
and confidentiality through its policies and in its contracts with customers. Confluent’s commitments
are documented and communicated to customers through the following:Terms of Service (https://www.confluent.io/marketplace-terms-of-service/)

Data Processing Addendum (https://www.confluent.io/cloud-customer-dpa/)

Confluent Cloud Security Addendum (https://confluent.io/cloud-enterprise-security-addendum)

C. Complementary Subservice Organization Controls
Confluent’s controls related to the Confluent Cloud System cover only a portion of overall internal
control for each user entity of Confluent It is not feasible for the criteria related to the Confluent Cloud
System to be achieved solely by Confluent Therefore, each user entity's internal controls must be
evaluated in conjunction with Confluent’s controls, taking into account the types of controls expected
to be implemented by the subservice organization as described below.

Complementary Subservice Organization Controls
1

Access to hosted systems requires users to use a secure method to authenticate.

2

User content is segregated and made viewable only to authorized individuals.

3

Network security mechanisms restrict external access to the production environment.

4

New user accounts are approved by appropriate individuals prior to being provisioned.

5

User accounts are removed when access is no longer needed.

6

User accounts are reviewed on a regular basis by appropriate personnel.

7

Access modifications to hosted systems are approved by appropriate individuals prior to being
provisioned.

8

Access to physical facilities is restricted to authorized users.

9

Production media is securely decommissioned and physically destroyed prior to being removed from thedata center.

10

Encrypted communication is required for connections to the production system.

11

Access to hosted data is restricted to appropriate users.

12

Hosted data is protected during transmission through encryption and secure protocols.

13

Antivirus or antimalware solutions are installed to detect or prevent unauthorized or malicious software.

14

System configuration changes are logged and monitored.

15

Vulnerabilities are identified and tracked to resolution.

PROPRIETARY AND CONFIDENTIAL|

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Confluent’s Description of the Boundaries of the Confluent Cloud System

Complementary Subservice Organization Controls
16

Security events are monitored and evaluated to determine their potential impact.

17

Operations personnel log, monitor, and evaluate incident events identified by monitoring systems.

18

Operations personnel respond to, contain, and remediate incident events, and update stakeholders, as
needed.

19

System changes are documented, tested, and approved prior to migration to production.

20

Access to make system changes is restricted to appropriate personnel.

21

Operations personnel monitor processing and system capacity.

22

Environmental protections, software, data back-up processes, and recovery infrastructure are
implemented.

23

System failover and backup procedures are tested.

PROPRIETARY AND CONFIDENTIAL|

19