507 lines
17 KiB
Markdown
507 lines
17 KiB
Markdown
# Calejo Control Adapter - Compliance & Certification Guide
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## Overview
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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.
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## Regulatory Framework
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### Applicable Standards
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| Standard | Scope | Certification Body |
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|----------|-------|-------------------|
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| **IEC 62443** | Industrial Automation and Control Systems Security | IECEE CB Scheme |
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| **ISO 27001** | Information Security Management Systems | ISO Certification Bodies |
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| **NIS2 Directive** | Network and Information Systems Security | EU Member State Authorities |
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| **IEC 61511** | Functional Safety - Safety Instrumented Systems | IEC Certification Bodies |
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### Compliance Mapping
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#### IEC 62443 Compliance
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**Security Levels**:
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- **SL 1**: Protection against casual or coincidental violation
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- **SL 2**: Protection against intentional violation using simple means
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- **SL 3**: Protection against intentional violation using sophisticated means
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- **SL 4**: Protection against intentional violation using sophisticated means with extended resources
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**Target Security Level**: **SL 3** for municipal wastewater infrastructure
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#### ISO 27001 Compliance
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**Information Security Management System (ISMS)**:
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- Risk assessment and treatment
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- Security policies and procedures
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- Access control and authentication
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- Incident management and response
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- Business continuity planning
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#### NIS2 Directive Compliance
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**Essential Requirements**:
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- Risk management measures
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- Incident handling procedures
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- Business continuity planning
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- Supply chain security
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- Vulnerability management
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## Security Controls Implementation
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### Access Control (IEC 62443-3-3 SR 1.1)
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#### Authentication Mechanisms
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```python
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# Authentication implementation
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class AuthenticationManager:
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def authenticate_user(self, username: str, password: str) -> AuthenticationResult:
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"""Authenticate user with multi-factor verification"""
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# Password verification
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if not self.verify_password(username, password):
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self.audit_log.log_failed_login(username, "INVALID_PASSWORD")
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return AuthenticationResult(success=False, reason="Invalid credentials")
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# Multi-factor authentication
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if not self.verify_mfa(username):
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self.audit_log.log_failed_login(username, "MFA_FAILED")
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return AuthenticationResult(success=False, reason="MFA verification failed")
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# Generate JWT token
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token = self.generate_jwt_token(username)
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self.audit_log.log_successful_login(username)
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return AuthenticationResult(success=True, token=token)
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```
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#### Role-Based Access Control
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```python
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# RBAC implementation
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class AuthorizationManager:
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ROLES_PERMISSIONS = {
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'operator': [
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'read_pump_status',
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'set_setpoint',
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'activate_emergency_stop',
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'clear_emergency_stop'
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],
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'supervisor': [
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'read_pump_status',
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'set_setpoint',
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'activate_emergency_stop',
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'clear_emergency_stop',
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'view_audit_logs',
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'manage_users'
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],
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'administrator': [
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'read_pump_status',
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'set_setpoint',
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'activate_emergency_stop',
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'clear_emergency_stop',
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'view_audit_logs',
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'manage_users',
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'system_configuration',
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'security_management'
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]
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}
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def has_permission(self, role: str, permission: str) -> bool:
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"""Check if role has specific permission"""
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return permission in self.ROLES_PERMISSIONS.get(role, [])
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```
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### Use Control (IEC 62443-3-3 SR 1.2)
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#### Session Management
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```python
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# Session control implementation
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class SessionManager:
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def __init__(self):
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self.active_sessions = {}
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self.max_session_duration = 3600 # 1 hour
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self.max_inactivity = 900 # 15 minutes
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def create_session(self, user_id: str, token: str) -> Session:
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"""Create new user session with security controls"""
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session = Session(
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user_id=user_id,
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token=token,
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created_at=datetime.utcnow(),
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last_activity=datetime.utcnow(),
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expires_at=datetime.utcnow() + timedelta(seconds=self.max_session_duration)
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)
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self.active_sessions[token] = session
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return session
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def validate_session(self, token: str) -> ValidationResult:
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"""Validate session with security checks"""
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session = self.active_sessions.get(token)
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if not session:
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return ValidationResult(valid=False, reason="Session not found")
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# Check session expiration
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if datetime.utcnow() > session.expires_at:
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del self.active_sessions[token]
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return ValidationResult(valid=False, reason="Session expired")
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# Check inactivity timeout
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inactivity = datetime.utcnow() - session.last_activity
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if inactivity.total_seconds() > self.max_inactivity:
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del self.active_sessions[token]
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return ValidationResult(valid=False, reason="Session inactive")
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# Update last activity
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session.last_activity = datetime.utcnow()
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return ValidationResult(valid=True, session=session)
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```
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### System Integrity (IEC 62443-3-3 SR 1.3)
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#### Software Integrity Verification
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```python
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# Integrity verification implementation
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class IntegrityManager:
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def verify_application_integrity(self) -> IntegrityResult:
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"""Verify application integrity using checksums and signatures"""
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integrity_checks = []
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# Verify core application files
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core_files = [
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'src/main.py',
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'src/core/safety.py',
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'src/security/authentication.py',
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'src/protocols/opcua_server.py'
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]
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for file_path in core_files:
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checksum = self.calculate_checksum(file_path)
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expected_checksum = self.get_expected_checksum(file_path)
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if checksum != expected_checksum:
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integrity_checks.append(IntegrityCheck(
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file=file_path,
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status='FAILED',
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reason='Checksum mismatch'
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))
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else:
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integrity_checks.append(IntegrityCheck(
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file=file_path,
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status='PASSED'
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))
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# Verify digital signatures
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signature_valid = self.verify_digital_signatures()
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return IntegrityResult(
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checks=integrity_checks,
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overall_status='PASSED' if all(c.status == 'PASSED' for c in integrity_checks) and signature_valid else 'FAILED'
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)
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```
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## Audit and Accountability
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### Comprehensive Audit Logging
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#### Audit Event Structure
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```python
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# Audit logging implementation
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class ComplianceAuditLogger:
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def log_security_event(self, event: SecurityEvent):
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"""Log security event with compliance metadata"""
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audit_record = ComplianceAuditRecord(
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timestamp=datetime.utcnow(),
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event_type=event.event_type,
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severity=event.severity,
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user_id=event.user_id,
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station_id=event.station_id,
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pump_id=event.pump_id,
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ip_address=event.ip_address,
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protocol=event.protocol,
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action=event.action,
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resource=event.resource,
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result=event.result,
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reason=event.reason,
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compliance_standard=['IEC_62443', 'ISO_27001', 'NIS2'],
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event_data=event.data,
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app_name='Calejo Control Adapter',
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app_version='2.0.0',
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environment=self.environment
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)
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# Store in compliance database
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self.database.store_audit_record(audit_record)
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# Generate real-time alert for critical events
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if event.severity in ['HIGH', 'CRITICAL']:
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self.alert_system.send_alert(audit_record)
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```
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#### Required Audit Events
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| Event Type | Severity | Compliance Standard | Retention |
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|------------|----------|---------------------|-----------|
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| **USER_LOGIN** | MEDIUM | IEC 62443, ISO 27001 | 1 year |
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| **USER_LOGOUT** | LOW | IEC 62443, ISO 27001 | 1 year |
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| **SETPOINT_CHANGED** | HIGH | IEC 62443, NIS2 | 7 years |
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| **EMERGENCY_STOP_ACTIVATED** | CRITICAL | IEC 62443, NIS2 | 10 years |
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| **SAFETY_VIOLATION** | HIGH | IEC 62443, IEC 61511 | 7 years |
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| **CONFIGURATION_CHANGED** | MEDIUM | IEC 62443, ISO 27001 | 3 years |
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## Risk Assessment and Management
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### Security Risk Assessment
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#### Risk Assessment Methodology
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```python
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# Risk assessment implementation
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class SecurityRiskAssessor:
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def assess_system_risks(self) -> RiskAssessment:
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"""Comprehensive security risk assessment"""
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risks = []
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# Assess authentication risks
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auth_risk = self.assess_authentication_risk()
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risks.append(auth_risk)
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# Assess network communication risks
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network_risk = self.assess_network_risk()
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risks.append(network_risk)
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# Assess data integrity risks
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integrity_risk = self.assess_integrity_risk()
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risks.append(integrity_risk)
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# Calculate overall risk score
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overall_score = self.calculate_overall_risk(risks)
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return RiskAssessment(
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risks=risks,
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overall_score=overall_score,
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assessment_date=datetime.utcnow(),
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assessor='Automated Risk Assessment System'
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)
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def assess_authentication_risk(self) -> Risk:
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"""Assess authentication-related risks"""
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controls = [
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RiskControl('Multi-factor authentication', 'IMPLEMENTED', 0.8),
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RiskControl('Strong password policy', 'IMPLEMENTED', 0.7),
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RiskControl('Session timeout', 'IMPLEMENTED', 0.6),
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RiskControl('Account lockout', 'IMPLEMENTED', 0.7)
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]
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return Risk(
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category='AUTHENTICATION',
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description='Unauthorized access to control systems',
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likelihood=0.3,
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impact=0.9,
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controls=controls,
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residual_risk=self.calculate_residual_risk(0.3, 0.9, controls)
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)
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```
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### Risk Treatment Plan
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#### Risk Mitigation Strategies
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| Risk Category | Mitigation Strategy | Control Implementation | Target Date |
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|---------------|---------------------|------------------------|-------------|
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| **Unauthorized Access** | Multi-factor authentication, RBAC | AuthenticationManager, AuthorizationManager | Completed |
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| **Data Tampering** | Digital signatures, checksums | IntegrityManager | Completed |
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| **Network Attacks** | TLS encryption, firewalls | Protocol security layers | Completed |
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| **System Failure** | Redundancy, monitoring | Health monitoring, alerts | Completed |
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## Certification Process
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### IEC 62443 Certification
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#### Certification Steps
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1. **Gap Analysis**
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- Compare current implementation against IEC 62443 requirements
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- Identify compliance gaps and remediation actions
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- Develop certification roadmap
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2. **Security Development Lifecycle**
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- Implement secure development practices
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- Conduct security code reviews
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- Perform vulnerability assessments
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3. **Security Testing**
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- Penetration testing
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- Vulnerability scanning
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- Security controls testing
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4. **Documentation Preparation**
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- Security policies and procedures
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- Risk assessment reports
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- Security architecture documentation
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5. **Certification Audit**
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- On-site assessment by certification body
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- Evidence review and validation
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- Compliance verification
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#### Required Documentation
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- **Security Policy Document**
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- **Risk Assessment Report**
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- **Security Architecture Description**
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- **Security Test Reports**
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- **Incident Response Plan**
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- **Business Continuity Plan**
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### ISO 27001 Certification
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#### ISMS Implementation
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```python
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# ISMS implementation tracking
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class ISMSManager:
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def track_compliance_status(self) -> ComplianceStatus:
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"""Track ISO 27001 compliance status"""
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controls_status = {}
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# Check A.9 Access Control
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controls_status['A.9.1.1'] = self.check_access_control_policy()
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controls_status['A.9.2.1'] = self.check_user_registration()
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controls_status['A.9.2.3'] = self.check_privilege_management()
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# Check A.12 Operations Security
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controls_status['A.12.4.1'] = self.check_event_logging()
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controls_status['A.12.4.2'] = self.check_log_protection()
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controls_status['A.12.4.3'] = self.check_clock_synchronization()
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# Calculate overall compliance
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total_controls = len(controls_status)
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compliant_controls = sum(1 for status in controls_status.values() if status == 'COMPLIANT')
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compliance_percentage = (compliant_controls / total_controls) * 100
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return ComplianceStatus(
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controls=controls_status,
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overall_compliance=compliance_percentage,
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last_assessment=datetime.utcnow()
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)
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```
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## Evidence Collection
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### Compliance Evidence Requirements
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#### Technical Evidence
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```python
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# Evidence collection implementation
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class ComplianceEvidenceCollector:
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def collect_technical_evidence(self) -> TechnicalEvidence:
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"""Collect technical evidence for compliance audits"""
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evidence = TechnicalEvidence()
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# Security configuration evidence
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evidence.security_config = self.get_security_configuration()
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# Access control evidence
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evidence.access_logs = self.get_access_logs()
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evidence.user_roles = self.get_user_role_mappings()
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# System integrity evidence
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evidence.integrity_checks = self.get_integrity_check_results()
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evidence.patch_levels = self.get_patch_information()
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# Network security evidence
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evidence.firewall_rules = self.get_firewall_configuration()
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evidence.tls_certificates = self.get_certificate_info()
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return evidence
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def generate_compliance_report(self) -> ComplianceReport:
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"""Generate comprehensive compliance report"""
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technical_evidence = self.collect_technical_evidence()
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procedural_evidence = self.collect_procedural_evidence()
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return ComplianceReport(
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technical_evidence=technical_evidence,
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procedural_evidence=procedural_evidence,
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assessment_date=datetime.utcnow(),
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compliance_status=self.assess_compliance_status(),
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recommendations=self.generate_recommendations()
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)
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```
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#### Procedural Evidence
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- **Security Policies and Procedures**
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- **Risk Assessment Documentation**
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- **Incident Response Plans**
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- **Business Continuity Plans**
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- **Training Records**
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- **Change Management Records**
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## Continuous Compliance Monitoring
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### Automated Compliance Checking
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```python
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# Continuous compliance monitoring
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class ComplianceMonitor:
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def monitor_compliance_status(self) -> MonitoringResult:
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"""Continuous monitoring of compliance status"""
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checks = []
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# Security controls monitoring
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checks.append(self.check_authentication_controls())
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checks.append(self.check_access_controls())
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checks.append(self.check_audit_logging())
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checks.append(self.check_system_integrity())
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checks.append(self.check_network_security())
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# Calculate compliance score
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passed_checks = sum(1 for check in checks if check.status == 'PASSED')
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compliance_score = (passed_checks / len(checks)) * 100
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return MonitoringResult(
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checks=checks,
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compliance_score=compliance_score,
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timestamp=datetime.utcnow(),
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alerts=self.generate_alerts(checks)
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)
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def check_authentication_controls(self) -> ComplianceCheck:
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"""Check authentication controls compliance"""
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checks_passed = 0
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total_checks = 4
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# Check MFA implementation
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if self.is_mfa_enabled():
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checks_passed += 1
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# Check password policy
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if self.is_password_policy_enforced():
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checks_passed += 1
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# Check session management
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if self.is_session_management_configured():
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checks_passed += 1
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# Check account lockout
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if self.is_account_lockout_enabled():
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checks_passed += 1
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return ComplianceCheck(
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category='AUTHENTICATION',
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status='PASSED' if checks_passed == total_checks else 'FAILED',
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score=(checks_passed / total_checks) * 100,
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details=f"{checks_passed}/{total_checks} controls compliant"
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)
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```
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---
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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.* |