CalejoControl/docs/COMPLIANCE_CERTIFICATION.md

Calejo Control Adapter - Compliance & Certification Guide

Overview

This guide provides comprehensive documentation for regulatory compliance and certification processes for the Calejo Control Adapter, focusing on industrial automation security standards and critical infrastructure protection.

Regulatory Framework

Applicable Standards

Standard	Scope	Certification Body
IEC 62443	Industrial Automation and Control Systems Security	IECEE CB Scheme
ISO 27001	Information Security Management Systems	ISO Certification Bodies
NIS2 Directive	Network and Information Systems Security	EU Member State Authorities
IEC 61511	Functional Safety - Safety Instrumented Systems	IEC Certification Bodies

Compliance Mapping

IEC 62443 Compliance

Security Levels:

• SL 1: Protection against casual or coincidental violation
• SL 2: Protection against intentional violation using simple means
• SL 3: Protection against intentional violation using sophisticated means
• SL 4: Protection against intentional violation using sophisticated means with extended resources

Target Security Level: SL 3 for municipal wastewater infrastructure

ISO 27001 Compliance

Information Security Management System (ISMS):

• Risk assessment and treatment
• Security policies and procedures
• Access control and authentication
• Incident management and response
• Business continuity planning

NIS2 Directive Compliance

Essential Requirements:

• Risk management measures
• Incident handling procedures
• Business continuity planning
• Supply chain security
• Vulnerability management

Security Controls Implementation

Access Control (IEC 62443-3-3 SR 1.1)

Authentication Mechanisms

# Authentication implementation
class AuthenticationManager:
    def authenticate_user(self, username: str, password: str) -> AuthenticationResult:
        """Authenticate user with multi-factor verification"""
        # Password verification
        if not self.verify_password(username, password):
            self.audit_log.log_failed_login(username, "INVALID_PASSWORD")
            return AuthenticationResult(success=False, reason="Invalid credentials")
        
        # Multi-factor authentication
        if not self.verify_mfa(username):
            self.audit_log.log_failed_login(username, "MFA_FAILED")
            return AuthenticationResult(success=False, reason="MFA verification failed")
        
        # Generate JWT token
        token = self.generate_jwt_token(username)
        self.audit_log.log_successful_login(username)
        
        return AuthenticationResult(success=True, token=token)

Role-Based Access Control

# RBAC implementation
class AuthorizationManager:
    ROLES_PERMISSIONS = {
        'operator': [
            'read_pump_status',
            'set_setpoint',
            'activate_emergency_stop',
            'clear_emergency_stop'
        ],
        'supervisor': [
            'read_pump_status',
            'set_setpoint',
            'activate_emergency_stop',
            'clear_emergency_stop',
            'view_audit_logs',
            'manage_users'
        ],
        'administrator': [
            'read_pump_status',
            'set_setpoint',
            'activate_emergency_stop',
            'clear_emergency_stop',
            'view_audit_logs',
            'manage_users',
            'system_configuration',
            'security_management'
        ]
    }
    
    def has_permission(self, role: str, permission: str) -> bool:
        """Check if role has specific permission"""
        return permission in self.ROLES_PERMISSIONS.get(role, [])

Use Control (IEC 62443-3-3 SR 1.2)

Session Management

# Session control implementation
class SessionManager:
    def __init__(self):
        self.active_sessions = {}
        self.max_session_duration = 3600  # 1 hour
        self.max_inactivity = 900  # 15 minutes
    
    def create_session(self, user_id: str, token: str) -> Session:
        """Create new user session with security controls"""
        session = Session(
            user_id=user_id,
            token=token,
            created_at=datetime.utcnow(),
            last_activity=datetime.utcnow(),
            expires_at=datetime.utcnow() + timedelta(seconds=self.max_session_duration)
        )
        
        self.active_sessions[token] = session
        return session
    
    def validate_session(self, token: str) -> ValidationResult:
        """Validate session with security checks"""
        session = self.active_sessions.get(token)
        
        if not session:
            return ValidationResult(valid=False, reason="Session not found")
        
        # Check session expiration
        if datetime.utcnow() > session.expires_at:
            del self.active_sessions[token]
            return ValidationResult(valid=False, reason="Session expired")
        
        # Check inactivity timeout
        inactivity = datetime.utcnow() - session.last_activity
        if inactivity.total_seconds() > self.max_inactivity:
            del self.active_sessions[token]
            return ValidationResult(valid=False, reason="Session inactive")
        
        # Update last activity
        session.last_activity = datetime.utcnow()
        
        return ValidationResult(valid=True, session=session)

System Integrity (IEC 62443-3-3 SR 1.3)

Software Integrity Verification

# Integrity verification implementation
class IntegrityManager:
    def verify_application_integrity(self) -> IntegrityResult:
        """Verify application integrity using checksums and signatures"""
        integrity_checks = []
        
        # Verify core application files
        core_files = [
            'src/main.py',
            'src/core/safety.py',
            'src/security/authentication.py',
            'src/protocols/opcua_server.py'
        ]
        
        for file_path in core_files:
            checksum = self.calculate_checksum(file_path)
            expected_checksum = self.get_expected_checksum(file_path)
            
            if checksum != expected_checksum:
                integrity_checks.append(IntegrityCheck(
                    file=file_path,
                    status='FAILED',
                    reason='Checksum mismatch'
                ))
            else:
                integrity_checks.append(IntegrityCheck(
                    file=file_path,
                    status='PASSED'
                ))
        
        # Verify digital signatures
        signature_valid = self.verify_digital_signatures()
        
        return IntegrityResult(
            checks=integrity_checks,
            overall_status='PASSED' if all(c.status == 'PASSED' for c in integrity_checks) and signature_valid else 'FAILED'
        )

Audit and Accountability

Comprehensive Audit Logging

Audit Event Structure

# Audit logging implementation
class ComplianceAuditLogger:
    def log_security_event(self, event: SecurityEvent):
        """Log security event with compliance metadata"""
        audit_record = ComplianceAuditRecord(
            timestamp=datetime.utcnow(),
            event_type=event.event_type,
            severity=event.severity,
            user_id=event.user_id,
            station_id=event.station_id,
            pump_id=event.pump_id,
            ip_address=event.ip_address,
            protocol=event.protocol,
            action=event.action,
            resource=event.resource,
            result=event.result,
            reason=event.reason,
            compliance_standard=['IEC_62443', 'ISO_27001', 'NIS2'],
            event_data=event.data,
            app_name='Calejo Control Adapter',
            app_version='2.0.0',
            environment=self.environment
        )
        
        # Store in compliance database
        self.database.store_audit_record(audit_record)
        
        # Generate real-time alert for critical events
        if event.severity in ['HIGH', 'CRITICAL']:
            self.alert_system.send_alert(audit_record)

Required Audit Events

Event Type	Severity	Compliance Standard	Retention
USER_LOGIN	MEDIUM	IEC 62443, ISO 27001	1 year
USER_LOGOUT	LOW	IEC 62443, ISO 27001	1 year
SETPOINT_CHANGED	HIGH	IEC 62443, NIS2	7 years
EMERGENCY_STOP_ACTIVATED	CRITICAL	IEC 62443, NIS2	10 years
SAFETY_VIOLATION	HIGH	IEC 62443, IEC 61511	7 years
CONFIGURATION_CHANGED	MEDIUM	IEC 62443, ISO 27001	3 years

Risk Assessment and Management

Security Risk Assessment

Risk Assessment Methodology

# Risk assessment implementation
class SecurityRiskAssessor:
    def assess_system_risks(self) -> RiskAssessment:
        """Comprehensive security risk assessment"""
        risks = []
        
        # Assess authentication risks
        auth_risk = self.assess_authentication_risk()
        risks.append(auth_risk)
        
        # Assess network communication risks
        network_risk = self.assess_network_risk()
        risks.append(network_risk)
        
        # Assess data integrity risks
        integrity_risk = self.assess_integrity_risk()
        risks.append(integrity_risk)
        
        # Calculate overall risk score
        overall_score = self.calculate_overall_risk(risks)
        
        return RiskAssessment(
            risks=risks,
            overall_score=overall_score,
            assessment_date=datetime.utcnow(),
            assessor='Automated Risk Assessment System'
        )
    
    def assess_authentication_risk(self) -> Risk:
        """Assess authentication-related risks"""
        controls = [
            RiskControl('Multi-factor authentication', 'IMPLEMENTED', 0.8),
            RiskControl('Strong password policy', 'IMPLEMENTED', 0.7),
            RiskControl('Session timeout', 'IMPLEMENTED', 0.6),
            RiskControl('Account lockout', 'IMPLEMENTED', 0.7)
        ]
        
        return Risk(
            category='AUTHENTICATION',
            description='Unauthorized access to control systems',
            likelihood=0.3,
            impact=0.9,
            controls=controls,
            residual_risk=self.calculate_residual_risk(0.3, 0.9, controls)
        )

Risk Treatment Plan

Risk Mitigation Strategies

Risk Category	Mitigation Strategy	Control Implementation	Target Date
Unauthorized Access	Multi-factor authentication, RBAC	AuthenticationManager, AuthorizationManager	Completed
Data Tampering	Digital signatures, checksums	IntegrityManager	Completed
Network Attacks	TLS encryption, firewalls	Protocol security layers	Completed
System Failure	Redundancy, monitoring	Health monitoring, alerts	Completed

Certification Process

IEC 62443 Certification

Certification Steps

1. Gap Analysis

   • Compare current implementation against IEC 62443 requirements
   • Identify compliance gaps and remediation actions
   • Develop certification roadmap

2. Security Development Lifecycle

   • Implement secure development practices
   • Conduct security code reviews
   • Perform vulnerability assessments

3. Security Testing

   • Penetration testing
   • Vulnerability scanning
   • Security controls testing

4. Documentation Preparation

   • Security policies and procedures
   • Risk assessment reports
   • Security architecture documentation

5. Certification Audit

   • On-site assessment by certification body
   • Evidence review and validation
   • Compliance verification

Required Documentation

• Security Policy Document
• Risk Assessment Report
• Security Architecture Description
• Security Test Reports
• Incident Response Plan
• Business Continuity Plan

ISO 27001 Certification

ISMS Implementation

# ISMS implementation tracking
class ISMSManager:
    def track_compliance_status(self) -> ComplianceStatus:
        """Track ISO 27001 compliance status"""
        controls_status = {}
        
        # Check A.9 Access Control
        controls_status['A.9.1.1'] = self.check_access_control_policy()
        controls_status['A.9.2.1'] = self.check_user_registration()
        controls_status['A.9.2.3'] = self.check_privilege_management()
        
        # Check A.12 Operations Security
        controls_status['A.12.4.1'] = self.check_event_logging()
        controls_status['A.12.4.2'] = self.check_log_protection()
        controls_status['A.12.4.3'] = self.check_clock_synchronization()
        
        # Calculate overall compliance
        total_controls = len(controls_status)
        compliant_controls = sum(1 for status in controls_status.values() if status == 'COMPLIANT')
        compliance_percentage = (compliant_controls / total_controls) * 100
        
        return ComplianceStatus(
            controls=controls_status,
            overall_compliance=compliance_percentage,
            last_assessment=datetime.utcnow()
        )

Evidence Collection

Compliance Evidence Requirements

Technical Evidence

# Evidence collection implementation
class ComplianceEvidenceCollector:
    def collect_technical_evidence(self) -> TechnicalEvidence:
        """Collect technical evidence for compliance audits"""
        evidence = TechnicalEvidence()
        
        # Security configuration evidence
        evidence.security_config = self.get_security_configuration()
        
        # Access control evidence
        evidence.access_logs = self.get_access_logs()
        evidence.user_roles = self.get_user_role_mappings()
        
        # System integrity evidence
        evidence.integrity_checks = self.get_integrity_check_results()
        evidence.patch_levels = self.get_patch_information()
        
        # Network security evidence
        evidence.firewall_rules = self.get_firewall_configuration()
        evidence.tls_certificates = self.get_certificate_info()
        
        return evidence
    
    def generate_compliance_report(self) -> ComplianceReport:
        """Generate comprehensive compliance report"""
        technical_evidence = self.collect_technical_evidence()
        procedural_evidence = self.collect_procedural_evidence()
        
        return ComplianceReport(
            technical_evidence=technical_evidence,
            procedural_evidence=procedural_evidence,
            assessment_date=datetime.utcnow(),
            compliance_status=self.assess_compliance_status(),
            recommendations=self.generate_recommendations()
        )

Procedural Evidence

• Security Policies and Procedures
• Risk Assessment Documentation
• Incident Response Plans
• Business Continuity Plans
• Training Records
• Change Management Records

Continuous Compliance Monitoring

Automated Compliance Checking

# Continuous compliance monitoring
class ComplianceMonitor:
    def monitor_compliance_status(self) -> MonitoringResult:
        """Continuous monitoring of compliance status"""
        checks = []
        
        # Security controls monitoring
        checks.append(self.check_authentication_controls())
        checks.append(self.check_access_controls())
        checks.append(self.check_audit_logging())
        checks.append(self.check_system_integrity())
        checks.append(self.check_network_security())
        
        # Calculate compliance score
        passed_checks = sum(1 for check in checks if check.status == 'PASSED')
        compliance_score = (passed_checks / len(checks)) * 100
        
        return MonitoringResult(
            checks=checks,
            compliance_score=compliance_score,
            timestamp=datetime.utcnow(),
            alerts=self.generate_alerts(checks)
        )
    
    def check_authentication_controls(self) -> ComplianceCheck:
        """Check authentication controls compliance"""
        checks_passed = 0
        total_checks = 4
        
        # Check MFA implementation
        if self.is_mfa_enabled():
            checks_passed += 1
        
        # Check password policy
        if self.is_password_policy_enforced():
            checks_passed += 1
        
        # Check session management
        if self.is_session_management_configured():
            checks_passed += 1
        
        # Check account lockout
        if self.is_account_lockout_enabled():
            checks_passed += 1
        
        return ComplianceCheck(
            category='AUTHENTICATION',
            status='PASSED' if checks_passed == total_checks else 'FAILED',
            score=(checks_passed / total_checks) * 100,
            details=f"{checks_passed}/{total_checks} controls compliant"
        )

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This compliance and certification guide provides comprehensive documentation for achieving and maintaining regulatory compliance. Regular audits and continuous monitoring ensure ongoing compliance with industrial automation security standards.