openstack-manuals/doc/security-guide/ch064_certifications-compliance-statements.xml

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  xml:id="ch064_certifications-compliance-statements">
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  <title>Certification &amp; Compliance Statements</title>
  <para>Compliance and security are not exclusive, and must be
    addressed together. OpenStack deployments are unlikely to satisfy
    compliance requirements without security hardening. The listing
    below provides an OpenStack architect foundational knowledge and
    guidance to achieve compliance against commercial and government
    certifications and standards.</para>
  <section
    xml:id="ch064_certifications-compliance-statements-idp44896">
    <title>Commercial Standards</title>
    <para>For commercial deployments of OpenStack, it is recommended
      that SOC 1/2 combined with ISO 2700 1/2 be considered as a
      starting point for OpenStack certification activities. The
      required security activities mandated by these certifications
      facilitate a foundation of security best practices and common
      control criteria that can assist in achieving more stringent
      compliance activities, including government attestations and
      certifications.</para>
    <para>After completing these initial certifications, the remaining
      certifications are more deployment specific. For example, clouds
      processing credit card transactions will need PCI-DSS, clouds
      storing health care information require HIPAA, and clouds within
      the federal government may require FedRAMP/FISMA, and ITAR,
      certifications. </para>
    <section
      xml:id="ch064_certifications-compliance-statements-idp47472">
      <title>SOC 1 (SSAE 16) / ISAE 3402</title>
      <para>Service Organization Controls (SOC) criteria are defined
        by the <link xlink:href="http://www.aicpa.org/">American
          Institute of Certified Public Accountants</link> (AICPA).
        SOC controls assess relevant financial statements and
        assertions of a service provider, such as compliance with the
        Sarbanes-Oxley Act. SOC 1 is a replacement for Statement on
        Auditing Standards No. 70 (SAS 70) Type II report. These
        controls commonly include physical data centers in
        scope.</para>
      <para>There are two types of SOC 1 reports:</para>
      <itemizedlist>
        <listitem>
          <para>Type 1 – report on the fairness of the presentation of
            management's description of the service organization's
            system and the suitability of the design of the controls
            to achieve the related control objectives included in the
            description as of a specified date.</para>
        </listitem>
        <listitem>
          <para>Type 2 – report on the fairness of the presentation of
            management's description of the service organization's
            system and the suitability of the design and operating
            effectiveness of the controls to achieve the related
            control objectives included in the description throughout
            a specified period</para>
        </listitem>
      </itemizedlist>
      <para>For more details see the <link
          xlink:href="http://www.aicpa.org/InterestAreas/FRC/AssuranceAdvisoryServices/Pages/AICPASOC1Report.aspx"
          >AICPA Report on Controls at a Service Organization Relevant
          to User Entities’ Internal Control over Financial
          Reporting</link>.</para>
    </section>
    <section
      xml:id="ch064_certifications-compliance-statements-idp53632">
      <title>SOC 2</title>
      <para>Service Organization Controls (SOC) 2 is a self
        attestation of controls that affect the security,
        availability, and processing integrity of the systems a
        service organization uses to process users' data and the
        confidentiality and privacy of information processed by these
        system. Examples of users are those responsible for governance
        of the service organization; customers of the service
        organization; regulators; business partners; suppliers and
        others who have an understanding of the service organization
        and its controls.</para>
      <para>There are two types of SOC 2 reports:</para>
      <itemizedlist>
        <listitem>
          <para>Type 1 – report on the fairness of the presentation of
            management's description of the service organization's
            system and the suitability of the design of the controls
            to achieve the related control objectives included in the
            description as of a specified date.</para>
        </listitem>
        <listitem>
          <para>Type 2 – report on the fairness of the presentation of
            management's description of the service organization's
            system and the suitability of the design and operating
            effectiveness of the controls to achieve the related
            control objectives included in the description throughout
            a specified period.</para>
        </listitem>
      </itemizedlist>
      <para>For more details see the <link
          xlink:href="http://www.aicpa.org/InterestAreas/FRC/AssuranceAdvisoryServices/Pages/AICPASOC2Report.aspx"
          >AICPA Report on Controls at a Service Organization Relevant
          to Security, Availability, Processing Integrity,
          Confidentiality or Privacy</link>.</para>
    </section>
  </section>
  <section
    xml:id="ch064_certifications-compliance-statements-idp60416">
    <title>SOC 3</title>
    <para>Service Organization Controls (SOC) 3 is a trust services
      report for service organizations. These reports are designed to
      meet the needs of users who want assurance on the controls at a
      service organization related to security, availability,
      processing integrity, confidentiality, or privacy but do not
      have the need for or the knowledge necessary to make effective
      use of a SOC 2 Report. These reports are prepared using the
      AICPA/Canadian Institute of Chartered Accountants (CICA) Trust
      Services Principles, Criteria, and Illustrations for Security,
      Availability, Processing Integrity, Confidentiality, and
      Privacy. Because they are general use reports, SOC 3 Reports can
      be freely distributed or posted on a website as a seal.</para>
    <para>For more details see the <link
        xlink:href="http://www.aicpa.org/InterestAreas/FRC/AssuranceAdvisoryServices/Pages/AICPASOC3Report.aspx"
        >AICPA Trust Services Report for Service
      Organizations</link>.</para>
  </section>
  <section
    xml:id="ch064_certifications-compliance-statements-idp62832">
    <title>ISO 27001/2</title>
    <para>The ISO/IEC 27001/2 standards replace BS7799-2, and are
      specifications for an Information Security Management System
      (ISMS). An ISMS is a comprehensive set of policies and processes
      that an organization creates and maintains to manage risk to
      information assets.  These risks are based upon the
      confidentiality, integrity, and availability (CIA) of user
      information. The CIA security triad has been used as a
      foundation for much of the chapters in this book.</para>
    <para>For more details see <link
        xlink:href="http://www.27000.org/iso-27001.htm">ISO
        27001</link>.</para>
  </section>
  <section
    xml:id="ch064_certifications-compliance-statements-idp65296">
    <title>HIPAA / HITECH</title>
    <para>The Health Insurance Portability and Accountability Act
      (HIPAA) is a United States congressional act that governs the
      collection, storage, use and destruction of patient health
      records. The act states that Protected Health Information (PHI)
      must be rendered "unusable, unreadable, or indecipherable" to
      unauthorized persons and that encryption for data 'at-rest' and
      'inflight' should be addressed.</para>
    <para>HIPAA is not a certification, rather a guide for protecting
      healthcare data.  Similar to the PCI-DSS, the most important
      issues with both PCI and HIPPA is that a breach of credit card
      information, and health data, do not occur. In the instance of a
      breach the cloud provider will be scrutinized for compliance
      with PCI and HIPPA controls. If proven compliant, the provider
      can be expected to immediately implement remedial controls,
      breach notification responsibilities, and significant
      expenditure on additional compliance activities.  If not
      compliant, the cloud provider can expect on-site audit teams,
      fines, potential loss of merchant ID (PCI), and massive
      reputation impact.</para>
    <para>Users or organizations that possess PHI must support HIPAA
      requirements and are HIPAA covered entities. If an entity
      intends to use a service, or in this case, an OpenStack cloud
      that might use, store or have access to that PHI, then a
      Business Associate Agreement must be signed. The BAA is a
      contract between the HIPAA covered entity and the OpenStack
      service provider that requires the provider to handle that PHI
      in accordance with HIPAA requirements. If the service provider
      does not handle the PHI, such as with security controls and
      hardening, then they are subject to HIPAA fines and
      penalties.</para>
    <para>OpenStack architects interpret and respond to HIPAA
      statements, with data encryption remaining a core practice.
      Currently this would require any protected health information
      contained within an OpenStack deployment to be encrypted with
      industry standard encryption algorithms. Potential future
      OpenStack projects such as object encryption will facilitate
      HIPAA guidelines for compliance with the act.</para>
    <para>For more details see the <link
        xlink:href="https://www.cms.gov/Regulations-and-Guidance/HIPAA-Administrative-Simplification/HIPAAGenInfo/downloads/HIPAALaw.pdf"
        >Health Insurance Portability And Accountability
      Act</link>.</para>
    <section
      xml:id="ch064_certifications-compliance-statements-idp4736">
      <title>PCI-DSS</title>
      <para>The Payment Card Industry Data Security Standard (PCI DSS)
        is defined by the Payment Card Industry Standards Council, and
        created to increase controls around card holder data to reduce
        credit card fraud. Annual compliance validation is assessed by
        an external Qualified Security Assessor (QSA) who creates a
        Report on Compliance (ROC), or by a Self-Assessment
        Questionnaire (SAQ) dependent on volume of card-holder
        transactions.  </para>
      <para>OpenStack deployments which stores, processes, or
        transmits payment card details are in scope for the PCI-DSS.
        All OpenStack components that are not properly segmented from
        systems or networks that handle payment data fall under the
        guidelines of the PCI-DSS. Segmentation in the context of
        PCI-DSS does not support multi-tenancy, but rather physical
        separation (host/network). </para>
      <para>For more details see <link
          xlink:href="https://www.pcisecuritystandards.org/security_standards/"
          >PCI security standards</link>.</para>
    </section>
  </section>
  <section xml:id="ch064_certifications-compliance-statements-idp8448">
    <title>Government Standards</title>
    <section
      xml:id="ch064_certifications-compliance-statements-idp9088">
      <title>FedRAMP</title>
      <para>"The <link xlink:href="http://www.fedramp.gov">Federal
          Risk and Authorization Management Program</link> (FedRAMP)
        is a government-wide program that provides a standardized
        approach to security assessment, authorization, and continuous
        monitoring for cloud products and services". NIST 800-53 is
        the basis for both FISMA and FedRAMP which mandates security
        controls specifically selected to provide protection in cloud
        environments. FedRAMP can be extremely intensive from
        specificity around security controls, and the volume of
        documentation required to meet government standards.</para>
      <para>For more details see <link
          xlink:href="http://www.gsa.gov/portal/category/102371"
          >http://www.gsa.gov/portal/category/102371</link>.</para>
    </section>
    <section
      xml:id="ch064_certifications-compliance-statements-idp10768">
      <title>ITAR</title>
      <para>The International Traffic in Arms Regulations (ITAR) is a
        set of United States government regulations that control the
        export and import of defense-related articles and services on
        the United States Munitions List (USML) and related technical
        data. ITAR is often approached by cloud providers as an
        "operational alignment" rather than a formal certification.
        This typically involves implementing a segregated cloud
        environment following practices based on the NIST 800-53
        framework, as per FISMA requirements, complemented with
        additional controls restricting access to "U.S. Persons" only
        and background screening.</para>
      <para>For more details see <link
          xlink:href="http://pmddtc.state.gov/regulations_laws/itar_official.html"
          >http://pmddtc.state.gov/regulations_laws/itar_official.html</link>.</para>
    </section>
    <section
      xml:id="ch064_certifications-compliance-statements-idp89888">
      <title>FISMA</title>
      <para>The Federal Information Security Management Act requires
        that government agencies create a comprehensive plan to
        implement numerous government security standards, and was
        enacted within the E-Government Act of 2002. FISMA outlines a
        process, which utilizing multiple NIST publications, prepares
        an information system to store and process government
        data.</para>
      <para>This process is broken apart into three primary
        categories:</para>
      <itemizedlist>
        <listitem>
          <para><emphasis role="bold">System
            Categorization</emphasis>The information system will
            receive a security category as defined in Federal
            Information Processing Standards Publication 199 (FIPS
            199). These categories reflect the potential impact of
            system compromise.</para>
        </listitem>
        <listitem>
          <para><emphasis role="bold">Control
            Selection</emphasis>Based upon system security category as
            defined in FIPS 199, an organization utilizes FIPS 200 to
            identify specific security control requirements for the
            information system. For example, if a system is
            categorized as “moderate” a requirement may be introduced
            to mandate “secure passwords.”</para>
        </listitem>
        <listitem>
          <para><emphasis role="bold">Control Tailoring</emphasis>Once
            system security controls are identified, an OpenStack
            architect will utilize NIST 800-53 to extract tailored
            control selection. For example, specification of what
            constitutes a “secure password.”</para>
        </listitem>
      </itemizedlist>
    </section>
  </section>
</chapter>