""" Enterprise Certification and Compliance Validation System for Cyber-LLM Final compliance validation, security auditing, and enterprise readiness assessment Author: Muzan Sano """ import asyncio import json import logging import subprocess from datetime import datetime, timedelta from typing import Dict, List, Any, Optional, Tuple, Union from dataclasses import dataclass, field from enum import Enum from pathlib import Path import yaml import hashlib import ssl import socket import requests from ..utils.logging_system import CyberLLMLogger, CyberLLMError, ErrorCategory from ..governance.enterprise_governance import EnterpriseGovernanceManager, ComplianceFramework class CertificationStandard(Enum): """Enterprise certification standards""" SOC2_TYPE_II = "soc2_type_ii" ISO27001 = "iso27001" FEDRAMP_MODERATE = "fedramp_moderate" NIST_CYBERSECURITY = "nist_cybersecurity" GDPR_COMPLIANCE = "gdpr_compliance" HIPAA_COMPLIANCE = "hipaa_compliance" PCI_DSS = "pci_dss" CSA_STAR = "csa_star" class ComplianceStatus(Enum): """Compliance validation status""" COMPLIANT = "compliant" NON_COMPLIANT = "non_compliant" PARTIAL_COMPLIANCE = "partial_compliance" UNDER_REVIEW = "under_review" NOT_APPLICABLE = "not_applicable" class SecurityRating(Enum): """Security assessment ratings""" EXCELLENT = "excellent" # 95-100% GOOD = "good" # 85-94% SATISFACTORY = "satisfactory" # 75-84% NEEDS_IMPROVEMENT = "needs_improvement" # 60-74% UNSATISFACTORY = "unsatisfactory" # <60% @dataclass class ComplianceAssessment: """Individual compliance assessment result""" standard: CertificationStandard status: ComplianceStatus score: float # 0-100 # Assessment details assessed_date: datetime assessor: str assessment_method: str # Compliance details requirements_met: int total_requirements: int critical_gaps: List[str] = field(default_factory=list) recommendations: List[str] = field(default_factory=list) # Evidence and documentation evidence_files: List[str] = field(default_factory=list) documentation_complete: bool = False # Remediation tracking remediation_plan: Optional[str] = None remediation_timeline: Optional[timedelta] = None next_assessment_date: Optional[datetime] = None @dataclass class SecurityAuditResult: """Security audit result""" audit_id: str audit_date: datetime audit_type: str # Overall rating security_rating: SecurityRating overall_score: float # Detailed findings vulnerabilities_found: int critical_vulnerabilities: int high_vulnerabilities: int medium_vulnerabilities: int low_vulnerabilities: int # Categories assessed network_security_score: float application_security_score: float data_protection_score: float access_control_score: float monitoring_score: float incident_response_score: float # Recommendations immediate_actions: List[str] = field(default_factory=list) short_term_improvements: List[str] = field(default_factory=list) long_term_strategy: List[str] = field(default_factory=list) class EnterpriseCertificationManager: """Enterprise certification and compliance validation system""" def __init__(self, governance_manager: EnterpriseGovernanceManager, logger: Optional[CyberLLMLogger] = None): self.governance_manager = governance_manager self.logger = logger or CyberLLMLogger(name="enterprise_certification") # Certification tracking self.compliance_assessments = {} self.security_audit_results = {} self.certification_status = {} # Validation tools self.validation_tools = {} self.automated_checks = {} # Reporting self.certification_reports = {} self.logger.info("Enterprise Certification Manager initialized") async def conduct_comprehensive_compliance_assessment(self, standards: List[CertificationStandard]) -> Dict[str, ComplianceAssessment]: """Conduct comprehensive compliance assessment for multiple standards""" assessments = {} for standard in standards: try: self.logger.info(f"Starting compliance assessment for {standard.value}") assessment = await self._assess_compliance_standard(standard) assessments[standard.value] = assessment # Store assessment self.compliance_assessments[standard.value] = assessment self.logger.info(f"Completed assessment for {standard.value}", score=assessment.score, status=assessment.status.value) except Exception as e: self.logger.error(f"Failed to assess {standard.value}", error=str(e)) # Create failed assessment record assessments[standard.value] = ComplianceAssessment( standard=standard, status=ComplianceStatus.NON_COMPLIANT, score=0.0, assessed_date=datetime.now(), assessor="automated_system", assessment_method="automated_compliance_check", requirements_met=0, total_requirements=1, critical_gaps=[f"Assessment failed: {str(e)}"] ) # Generate comprehensive report await self._generate_compliance_report(assessments) return assessments async def _assess_compliance_standard(self, standard: CertificationStandard) -> ComplianceAssessment: """Assess compliance for a specific standard""" if standard == CertificationStandard.SOC2_TYPE_II: return await self._assess_soc2_compliance() elif standard == CertificationStandard.ISO27001: return await self._assess_iso27001_compliance() elif standard == CertificationStandard.FEDRAMP_MODERATE: return await self._assess_fedramp_compliance() elif standard == CertificationStandard.NIST_CYBERSECURITY: return await self._assess_nist_compliance() elif standard == CertificationStandard.GDPR_COMPLIANCE: return await self._assess_gdpr_compliance() elif standard == CertificationStandard.HIPAA_COMPLIANCE: return await self._assess_hipaa_compliance() elif standard == CertificationStandard.PCI_DSS: return await self._assess_pci_dss_compliance() else: return await self._assess_generic_compliance(standard) async def _assess_soc2_compliance(self) -> ComplianceAssessment: """Assess SOC 2 Type II compliance""" # SOC 2 Trust Service Criteria assessment criteria_scores = {} # Security (Common Criteria) security_checks = [ await self._check_access_controls(), await self._check_network_security(), await self._check_data_encryption(), await self._check_incident_response(), await self._check_vulnerability_management() ] criteria_scores['security'] = sum(security_checks) / len(security_checks) # Availability availability_checks = [ await self._check_system_availability(), await self._check_backup_procedures(), await self._check_disaster_recovery(), await self._check_capacity_planning() ] criteria_scores['availability'] = sum(availability_checks) / len(availability_checks) # Processing Integrity integrity_checks = [ await self._check_data_validation(), await self._check_processing_controls(), await self._check_error_handling(), await self._check_data_quality() ] criteria_scores['processing_integrity'] = sum(integrity_checks) / len(integrity_checks) # Confidentiality confidentiality_checks = [ await self._check_data_classification(), await self._check_confidentiality_agreements(), await self._check_data_disposal(), await self._check_confidential_data_protection() ] criteria_scores['confidentiality'] = sum(confidentiality_checks) / len(confidentiality_checks) # Privacy (if applicable) privacy_checks = [ await self._check_privacy_notice(), await self._check_consent_management(), await self._check_data_subject_rights(), await self._check_privacy_impact_assessment() ] criteria_scores['privacy'] = sum(privacy_checks) / len(privacy_checks) # Calculate overall score overall_score = sum(criteria_scores.values()) / len(criteria_scores) * 100 # Determine compliance status if overall_score >= 90: status = ComplianceStatus.COMPLIANT elif overall_score >= 75: status = ComplianceStatus.PARTIAL_COMPLIANCE else: status = ComplianceStatus.NON_COMPLIANT # Generate recommendations recommendations = [] for criterion, score in criteria_scores.items(): if score < 0.8: recommendations.append(f"Improve {criterion} controls (current score: {score:.1%})") return ComplianceAssessment( standard=CertificationStandard.SOC2_TYPE_II, status=status, score=overall_score, assessed_date=datetime.now(), assessor="automated_compliance_system", assessment_method="soc2_automated_assessment", requirements_met=sum(1 for score in criteria_scores.values() if score >= 0.8), total_requirements=len(criteria_scores), critical_gaps=[criterion for criterion, score in criteria_scores.items() if score < 0.6], recommendations=recommendations, documentation_complete=True ) async def _assess_iso27001_compliance(self) -> ComplianceAssessment: """Assess ISO 27001 compliance""" # ISO 27001 Control categories control_scores = {} # Information Security Policies (A.5) control_scores['policies'] = await self._check_security_policies() # Organization of Information Security (A.6) control_scores['organization'] = await self._check_security_organization() # Human Resource Security (A.7) control_scores['human_resources'] = await self._check_hr_security() # Asset Management (A.8) control_scores['asset_management'] = await self._check_asset_management() # Access Control (A.9) control_scores['access_control'] = await self._check_access_controls() # Cryptography (A.10) control_scores['cryptography'] = await self._check_cryptographic_controls() # Physical and Environmental Security (A.11) control_scores['physical_security'] = await self._check_physical_security() # Operations Security (A.12) control_scores['operations_security'] = await self._check_operations_security() # Communications Security (A.13) control_scores['communications_security'] = await self._check_communications_security() # System Acquisition, Development and Maintenance (A.14) control_scores['system_development'] = await self._check_system_development_security() # Supplier Relationships (A.15) control_scores['supplier_relationships'] = await self._check_supplier_security() # Information Security Incident Management (A.16) control_scores['incident_management'] = await self._check_incident_management() # Information Security Aspects of Business Continuity Management (A.17) control_scores['business_continuity'] = await self._check_business_continuity() # Compliance (A.18) control_scores['compliance'] = await self._check_regulatory_compliance() # Calculate overall score overall_score = sum(control_scores.values()) / len(control_scores) * 100 # Determine compliance status if overall_score >= 85: status = ComplianceStatus.COMPLIANT elif overall_score >= 70: status = ComplianceStatus.PARTIAL_COMPLIANCE else: status = ComplianceStatus.NON_COMPLIANT return ComplianceAssessment( standard=CertificationStandard.ISO27001, status=status, score=overall_score, assessed_date=datetime.now(), assessor="iso27001_automated_assessor", assessment_method="iso27001_control_assessment", requirements_met=sum(1 for score in control_scores.values() if score >= 0.7), total_requirements=len(control_scores), critical_gaps=[control for control, score in control_scores.items() if score < 0.5], recommendations=[f"Strengthen {control} (score: {score:.1%})" for control, score in control_scores.items() if score < 0.8], documentation_complete=True ) async def conduct_comprehensive_security_audit(self) -> SecurityAuditResult: """Conduct comprehensive security audit""" audit_id = f"security_audit_{datetime.now().strftime('%Y%m%d_%H%M%S')}" try: self.logger.info("Starting comprehensive security audit") # Network security assessment network_score = await self._audit_network_security() # Application security assessment app_score = await self._audit_application_security() # Data protection assessment data_score = await self._audit_data_protection() # Access control assessment access_score = await self._audit_access_control() # Monitoring and logging assessment monitoring_score = await self._audit_monitoring_logging() # Incident response assessment incident_score = await self._audit_incident_response() # Calculate overall score scores = [network_score, app_score, data_score, access_score, monitoring_score, incident_score] overall_score = sum(scores) / len(scores) # Determine security rating if overall_score >= 95: rating = SecurityRating.EXCELLENT elif overall_score >= 85: rating = SecurityRating.GOOD elif overall_score >= 75: rating = SecurityRating.SATISFACTORY elif overall_score >= 60: rating = SecurityRating.NEEDS_IMPROVEMENT else: rating = SecurityRating.UNSATISFACTORY # Simulate vulnerability counts (in production, would use actual scan results) critical_vulns = max(0, int((100 - overall_score) / 20)) high_vulns = max(0, int((100 - overall_score) / 15)) medium_vulns = max(0, int((100 - overall_score) / 10)) low_vulns = max(0, int((100 - overall_score) / 5)) total_vulns = critical_vulns + high_vulns + medium_vulns + low_vulns # Generate recommendations immediate_actions = [] short_term = [] long_term = [] if critical_vulns > 0: immediate_actions.append(f"Address {critical_vulns} critical vulnerabilities immediately") if network_score < 80: immediate_actions.append("Strengthen network security controls") if access_score < 75: short_term.append("Implement multi-factor authentication across all systems") if monitoring_score < 70: short_term.append("Enhance security monitoring and SIEM capabilities") if overall_score < 85: long_term.append("Develop comprehensive security improvement roadmap") audit_result = SecurityAuditResult( audit_id=audit_id, audit_date=datetime.now(), audit_type="comprehensive_enterprise_audit", security_rating=rating, overall_score=overall_score, vulnerabilities_found=total_vulns, critical_vulnerabilities=critical_vulns, high_vulnerabilities=high_vulns, medium_vulnerabilities=medium_vulns, low_vulnerabilities=low_vulns, network_security_score=network_score, application_security_score=app_score, data_protection_score=data_score, access_control_score=access_score, monitoring_score=monitoring_score, incident_response_score=incident_score, immediate_actions=immediate_actions, short_term_improvements=short_term, long_term_strategy=long_term ) self.security_audit_results[audit_id] = audit_result self.logger.info("Security audit completed", audit_id=audit_id, rating=rating.value, score=overall_score) return audit_result except Exception as e: self.logger.error("Security audit failed", error=str(e)) raise CyberLLMError("Security audit failed", ErrorCategory.SECURITY) async def generate_enterprise_readiness_report(self) -> Dict[str, Any]: """Generate comprehensive enterprise readiness report""" report_id = f"enterprise_readiness_{datetime.now().strftime('%Y%m%d_%H%M%S')}" try: # Conduct all assessments if not already done if not self.compliance_assessments: await self.conduct_comprehensive_compliance_assessment([ CertificationStandard.SOC2_TYPE_II, CertificationStandard.ISO27001, CertificationStandard.NIST_CYBERSECURITY, CertificationStandard.GDPR_COMPLIANCE ]) if not self.security_audit_results: await self.conduct_comprehensive_security_audit() # Calculate enterprise readiness score compliance_scores = [assessment.score for assessment in self.compliance_assessments.values()] avg_compliance_score = sum(compliance_scores) / len(compliance_scores) security_scores = [audit.overall_score for audit in self.security_audit_results.values()] avg_security_score = sum(security_scores) / len(security_scores) if security_scores else 0 # Weight: 60% compliance, 40% security enterprise_readiness_score = (avg_compliance_score * 0.6) + (avg_security_score * 0.4) # Determine readiness level if enterprise_readiness_score >= 95: readiness_level = "PRODUCTION_READY" elif enterprise_readiness_score >= 85: readiness_level = "ENTERPRISE_READY" elif enterprise_readiness_score >= 75: readiness_level = "NEAR_READY" elif enterprise_readiness_score >= 60: readiness_level = "DEVELOPMENT_READY" else: readiness_level = "NOT_READY" # Generate comprehensive report report = { "report_id": report_id, "generated_at": datetime.now().isoformat(), "enterprise_readiness": { "overall_score": enterprise_readiness_score, "readiness_level": readiness_level, "compliance_score": avg_compliance_score, "security_score": avg_security_score }, "compliance_assessment": { standard.value: { "status": assessment.status.value, "score": assessment.score, "requirements_met": f"{assessment.requirements_met}/{assessment.total_requirements}" } for standard, assessment in [(CertificationStandard(k), v) for k, v in self.compliance_assessments.items()] }, "security_assessment": { audit_id: { "rating": audit.security_rating.value, "score": audit.overall_score, "vulnerabilities": audit.vulnerabilities_found, "critical_vulnerabilities": audit.critical_vulnerabilities } for audit_id, audit in self.security_audit_results.items() }, "certification_status": { "ready_for_certification": readiness_level in ["PRODUCTION_READY", "ENTERPRISE_READY"], "recommended_certifications": self._recommend_certifications(enterprise_readiness_score), "certification_timeline": self._estimate_certification_timeline(readiness_level) }, "recommendations": { "immediate": self._get_immediate_recommendations(), "short_term": self._get_short_term_recommendations(), "long_term": self._get_long_term_recommendations() }, "next_steps": self._get_certification_next_steps(readiness_level) } self.certification_reports[report_id] = report self.logger.info("Enterprise readiness report generated", report_id=report_id, readiness_level=readiness_level, score=enterprise_readiness_score) return report except Exception as e: self.logger.error("Failed to generate enterprise readiness report", error=str(e)) raise CyberLLMError("Enterprise readiness report generation failed", ErrorCategory.REPORTING) # Security check methods (simplified implementations) async def _check_access_controls(self) -> float: """Check access control implementation""" # Simulate access control assessment checks = [ True, # Multi-factor authentication True, # Role-based access control True, # Principle of least privilege True, # Regular access reviews True # Strong password policies ] return sum(checks) / len(checks) async def _check_network_security(self) -> float: """Check network security controls""" checks = [ True, # Firewall configuration True, # Network segmentation True, # Intrusion detection True, # VPN security True # Network monitoring ] return sum(checks) / len(checks) async def _check_data_encryption(self) -> float: """Check data encryption implementation""" checks = [ True, # Data at rest encryption True, # Data in transit encryption True, # Key management True, # Certificate management True # Encryption strength ] return sum(checks) / len(checks) async def _audit_network_security(self) -> float: """Audit network security""" return 88.5 # Simulated score async def _audit_application_security(self) -> float: """Audit application security""" return 92.0 # Simulated score async def _audit_data_protection(self) -> float: """Audit data protection""" return 90.5 # Simulated score async def _audit_access_control(self) -> float: """Audit access control""" return 89.0 # Simulated score async def _audit_monitoring_logging(self) -> float: """Audit monitoring and logging""" return 87.5 # Simulated score async def _audit_incident_response(self) -> float: """Audit incident response""" return 85.0 # Simulated score def _recommend_certifications(self, readiness_score: float) -> List[str]: """Recommend appropriate certifications""" recommendations = [] if readiness_score >= 90: recommendations.extend([ "SOC 2 Type II", "ISO 27001", "FedRAMP Moderate" ]) elif readiness_score >= 80: recommendations.extend([ "SOC 2 Type II", "ISO 27001" ]) elif readiness_score >= 70: recommendations.append("SOC 2 Type II") return recommendations def _estimate_certification_timeline(self, readiness_level: str) -> Dict[str, str]: """Estimate certification timeline""" timelines = { "PRODUCTION_READY": "2-4 months", "ENTERPRISE_READY": "3-6 months", "NEAR_READY": "6-9 months", "DEVELOPMENT_READY": "9-12 months", "NOT_READY": "12+ months" } return { "estimated_timeline": timelines.get(readiness_level, "Unknown"), "factors": [ "Completion of remediation items", "Third-party auditor scheduling", "Documentation review process", "Evidence collection and validation" ] } # Factory function def create_enterprise_certification_manager(governance_manager: EnterpriseGovernanceManager, **kwargs) -> EnterpriseCertificationManager: """Create enterprise certification manager""" return EnterpriseCertificationManager(governance_manager, **kwargs)