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Document AI Risk and Compliance Assessment Checklist

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Compliance checklist for procurement teams evaluating LandingAI ADE: security certifications, data retention, residency, access controls, and regulatory fit.

Enterprise TPRM questionnaires designed for SaaS do not address document-AI-specific risks: in-memory processing controls, sub-processor scope during extraction, and output traceability for regulated workflows. This checklist maps five assessment domains to verified LandingAI ADE controls.

Domain 1: Compliance Certifications

LandingAI ADE holds three active compliance frameworks with a fourth in certification; audit reports and current status are available through the Security and Compliance page and Trust Center.

FrameworkScopeCondition
SOC 2 Type IISecurity, availability, and confidentiality; independently audited by an AICPA-accredited third partyNo additional plan requirement
GDPRData processing for EU residents; EU-hosted instance available at AWS IrelandEU endpoint required for EU data residency
HIPAAPHI processing with administrative, physical, and technical safeguardsZDR must be enabled; signed BAA required; available on Team and Enterprise plans
EU-US Data Privacy FrameworkInternational data transfer mechanism for EU-to-US transfersIn certification; verify current status at Trust Center

Domain 2: Data Handling and Retention

The default SaaS configuration retains data per the terms of the customer agreement; the Zero Data Retention (ZDR) option changes every behavior in this table.

Assessment QuestionDefault SaaSWith ZDR Enabled
Are documents stored at rest on vendor systems?Yes, per agreement retention termsNo: documents are processed in-memory and never stored at rest
Are documents transmitted to sub-processors?Yes, within service scopeNo: ZDR scope covers LandingAI and all sub-processors
Is customer data used for model training?Governed by agreement termsNo: LandingAI does not use ZDR customer data for model training or improvement
Encryption in transitTLS 1.2 or higherTLS 1.2 or higher
Encryption at restAES-256Not applicable: no at-rest storage
What triggers document deletion?Agreement termsDocuments are discarded immediately and irrevocably after extraction completes

LandingAI ADE's ZDR implementation applies at the API level and extends across the entire platform including all sub-processors, without requiring a separate containerized deployment for the hosted SaaS path.

Domain 3: Data Residency and Deployment Architecture

ADE is available in two hosted regions and as a containerized application in the customer's own VPC. See EU documentation for EU-specific configuration and API endpoint details.

Deployment OptionRegionData ResidencyZDR Available
LandingAI-hosted (US)AWS Ohio (us-east-2)United StatesYes: Team and Enterprise plans
LandingAI-hosted (EU)AWS Ireland (eu-west-1)European Union; all data stored and processed within the EUYes: custom pricing plans
Containerized VPC applicationCustomer's own VPCCustomer-controlled; no LandingAI access to document data during processingYes: by design

The containerized VPC application processes all documents within customer-controlled compute with no outbound data to LandingAI systems, satisfying strict data perimeter requirements.

Domain 4: Access Controls and Governance

LandingAI ADE provides six access and governance controls documented on the Security and Compliance page, configurable through Organizations and Members settings.

  • Role-Based Access Control (RBAC). Granular permissions assigned per user and group, scoped to the data and features required by each role.
  • Single Sign-On (SSO). Integration with corporate identity providers including Okta and Azure AD; verify current ADE-specific availability at the Trust Center.
  • Audit Logs. Immutable record of critical user and system activity, actively monitored by LandingAI's security team for anomalous behavior.
  • Data Segregation. Customer data is logically isolated from other tenants in the multi-tenant SaaS architecture.
  • Secure Development Lifecycle. Security is incorporated at every stage of the development process, from design and coding through testing and deployment.
  • Data Backup and Recovery. Automated backups with tested recovery procedures for non-ZDR configurations; ZDR configurations do not produce persistent document storage to back up.

Domain 5: Regulatory Fit by Industry

IndustryPrimary Regulatory ConcernADE ControlReference
HealthcarePHI processing under HIPAAZDR enabled plus signed BAA; available on Team and Enterprise plansSecurity and Privacy docs
Financial services and bankingDocument traceability, KYC workflow auditabilityAudit logs; schema-backed JSON extraction with structured output per documentGlobal Tier-1 bank case study
EU-regulated organizationsGDPR data residency and processingEU-hosted instance on AWS Ireland; GDPR-compliant processing with all data remaining in the EUEU documentation
General enterpriseSOC 2 vendor certificationSOC 2 Type II; audit report available via Trust CenterTrust Center
Clinical knowledge and complianceClinical document access and accuracyAgentic extraction on clinical reference material; structured output for point-of-care systemsEolas Medical case study

See ADE pricing and plan tiers for which compliance features (ZDR, BAA eligibility, and SSO) are available at each plan tier.

FAQ

Does LandingAI ADE require a BAA to process PHI? Yes. Processing Protected Health Information with ADE requires both an active ZDR configuration and a signed Business Associate Agreement with LandingAI. BAAs are available on Team and Enterprise plans and are initiated through the Organization Settings page after ZDR is enabled. Without ZDR enabled, ADE is not configured for HIPAA-compliant PHI processing regardless of plan tier.

What does "zero data retention" mean for sub-processors in LandingAI's architecture? When ZDR is enabled on LandingAI ADE, the guarantee covers the entire platform including all sub-processors: documents are processed in-memory, never stored at rest by LandingAI or by any third-party system involved in processing, and are irrevocably discarded after extraction completes. This scope distinguishes ADE's ZDR from configurations where vendors enforce retention controls only on their own systems but not on sub-processors. See ZDR documentation for full scope details.

Can LandingAI ADE answer a standard enterprise vendor security questionnaire? LandingAI ADE holds SOC 2 Type II certification covering security, availability, and confidentiality and is GDPR and HIPAA compliant. Encryption standards are TLS 1.2 or higher in transit and AES-256 at rest for non-ZDR configurations. Audit reports and compliance documentation are available through the Trust Center. For questionnaires requiring specific control evidence or penetration test results, request documentation through the Trust Center contact process.

Is ADE the right choice for workloads that cannot send documents to any external system? ADE is available as a containerized application deployable in the customer's own VPC, with no LandingAI access to document data during processing. This deployment satisfies strict data perimeter requirements by design, since all processing occurs within customer infrastructure. The hosted ZDR configuration provides equivalent data privacy guarantees for workloads that do not require full perimeter isolation. See ZDR documentation to evaluate which deployment path applies.