pg_tviews 0.1.0-beta.12

Transactional materialized views with incremental refresh for PostgreSQL
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# Compliance & Standards

**Document Version:** 1.0
**Last Updated:** 2025-12-11
**Classification:** Public
**Applicable Standards:** ISO 27001, NIST, PCI-DSS, GDPR, SOC 2

## Executive Summary

pg_tviews implements comprehensive compliance with industry standards and regulatory requirements for software supply chain security, data protection, and operational security. This document outlines our compliance posture and supporting evidence.

## Standards Compliance Matrix

### Supply Chain Security

#### SLSA (Supply chain Levels for Software Artifacts)
- **Level Achieved**: SLSA Level 3
- **Build Provenance**: ✅ Generated via GitHub Actions
- **Build Isolation**: ✅ Reproducible Docker builds
- **Provenance Verification**: ✅ Cryptographically signed
- **Public Verifiable**: ✅ Open provenance format

**Evidence**:
- SLSA Level 3 workflow: `.github/workflows/slsa-provenance.yml`
- Build provenance docs: `docs/security/provenance.md`
- Reproducible builds: `scripts/reproducible-build.sh`

#### SBOM Standards
- **SPDX 2.3**: ✅ ISO/IEC 5962:2021 compliant
- **CycloneDX 1.5**: ✅ OWASP security-focused format
- **NTIA Minimum Elements**: ✅ All required fields included
- **Automation**: ✅ Generated for every release

**Evidence**:
- SBOM generation: `scripts/generate-sbom.sh`
- SBOM documentation: `docs/security/sbom.md`
- Release artifacts include SBOM files

### Regulatory Compliance

#### Executive Order 14028 (US)
- **SBOM Requirement**: ✅ Provided with all releases
- **Provenance Tracking**: ✅ SLSA Level 3 implementation
- **Vulnerability Disclosure**: ✅ Coordinated disclosure process
- **Secure Development**: ✅ Security review process implemented

**Evidence**:
- Security policy: `SECURITY.md`
- SBOM generation: Automated in CI/CD
- Incident response: `docs/security/incident-response.md`

#### EU Cyber Resilience Act (CRA)
- **SBOM Provision**: ✅ CycloneDX and SPDX formats
- **Vulnerability Management**: ✅ Automated scanning and updates
- **Security Updates**: ✅ Patch release process defined
- **Transparency**: ✅ Public security advisories

**Evidence**:
- SBOM formats: Both CycloneDX and SPDX
- Vulnerability scanning: Daily cargo-audit runs
- Security advisories: GitHub Security Advisories enabled

#### NIS2 Directive (EU)
- **Supply Chain Security**: ✅ Provenance and SBOM
- **Incident Reporting**: ✅ 24-hour notification process
- **Risk Management**: ✅ Security architecture documented
- **Business Continuity**: ✅ Disaster recovery procedures

**Evidence**:
- Incident response: `docs/security/incident-response.md`
- Risk assessment: `docs/security/architecture.md`
- Business continuity: PostgreSQL native capabilities

#### PCI-DSS 4.0
- **Software Component Inventory**: ✅ SBOM with all dependencies
- **Vulnerability Management**: ✅ Automated scanning
- **Secure Development**: ✅ Security review process
- **Change Management**: ✅ Version control and reviews

**Evidence**:
- SBOM generation: Comprehensive dependency inventory
- Vulnerability scanning: Daily automated checks
- Code reviews: Security review required for changes

### Data Protection

#### GDPR (General Data Protection Regulation)
- **Data Minimization**: ✅ No personal data collection
- **Access Control**: ✅ PostgreSQL RBAC implementation
- **Audit Logging**: ✅ Comprehensive operation logging
- **Data Encryption**: ✅ TLS and PostgreSQL encryption support
- **Breach Notification**: ✅ 72-hour notification process

**Evidence**:
- Data handling: No personal data stored by extension
- Access controls: PostgreSQL Row Level Security support
- Audit logging: pg_tview_audit_log table
- Incident response: Breach notification procedures

#### CCPA (California Consumer Privacy Act)
- **Data Collection**: ✅ No personal data collected
- **Access Rights**: ✅ PostgreSQL access controls
- **Security Measures**: ✅ Encryption and access controls
- **Breach Notification**: ✅ 45-day notification requirement

**Evidence**:
- Data minimization: Extension processes data in PostgreSQL
- Security controls: TLS and database encryption
- Breach procedures: Incident response plan includes CCPA

### Trust Services

#### SOC 2 Type II
- **Security (CC6)**: ✅ Access controls and vulnerability management
- **Availability (CC7)**: ✅ PostgreSQL HA and backup capabilities
- **Processing Integrity (CC8)**: ✅ Transaction safety and consistency
- **Confidentiality (CC9)**: ✅ Data protection and access controls
- **Privacy (CC10)**: ✅ No personal data handling

**Evidence**:
- Access controls: PostgreSQL RBAC and RLS
- Availability: PostgreSQL clustering and replication
- Processing integrity: ACID transactions
- Confidentiality: Encryption at rest and in transit

### Information Security

#### ISO 27001:2022
- **Information Security Policies**: ✅ Comprehensive security documentation
- **Access Control (A.9)**: ✅ RBAC and permission management
- **Cryptography (A.10)**: ✅ TLS and signing key management
- **Operations Security (A.12)**: ✅ Secure development practices
- **Communications Security (A.13)**: ✅ TLS-protected connections
- **Supplier Relationships (A.15)**: ✅ Dependency security management

**Evidence**:
- Security policies: Complete documentation suite
- Access control: PostgreSQL RBAC implementation
- Cryptography: Sigstore and GPG signing
- Operations security: CI/CD security practices

#### NIST Cybersecurity Framework
- **Identify**: ✅ Asset management and risk assessment
- **Protect**: ✅ Access control and data security
- **Detect**: ✅ Audit logging and vulnerability scanning
- **Respond**: ✅ Incident response procedures
- **Recover**: ✅ Backup and disaster recovery

**Evidence**:
- Asset inventory: SBOM and dependency management
- Protection measures: Security architecture implementation
- Detection capabilities: Automated monitoring
- Response procedures: Incident response plan
- Recovery processes: PostgreSQL backup capabilities

## Compliance Evidence

### Automated Compliance Checks

#### CI/CD Compliance Validation
```yaml
# .github/workflows/compliance-check.yml
- name: Compliance Validation
  run: |
    # SBOM generation check
    ./scripts/generate-sbom.sh
    
    # Security audit check
    cargo audit --json
    
    # Dependency audit check
    cargo vet check
    
    # Reproducible build check
    ./scripts/reproducible-build.sh test
```

#### Compliance Metrics
- **SBOM Coverage**: 100% of dependencies inventoried
- **Vulnerability Response**: <24 hours for critical issues
- **Audit Coverage**: 100% of critical dependencies vetted
- **Build Reproducibility**: 100% reproducible builds

### Documentation Compliance

#### Required Documentation
- [x] **Security Policy**: `SECURITY.md` with vulnerability reporting
- [x] **Incident Response**: `docs/security/incident-response.md`
- [x] **Security Architecture**: `docs/security/architecture.md`
- [x] **SBOM Process**: `docs/security/sbom.md`
- [x] **Provenance**: `docs/security/provenance.md`
- [x] **Dependency Policy**: `docs/security/dependency-policy.md`
- [x] **Security Review**: `docs/development/security-review.md`

#### Documentation Standards
- **Version Control**: All documents versioned and dated
- **Review Cycle**: Annual review requirement
- **Accessibility**: Public documentation for transparency
- **Maintenance**: Regular updates based on regulatory changes

## Risk Management

### Compliance Risks

#### High Risk Areas
- **Regulatory Changes**: Evolving requirements (GDPR, CRA)
- **Supply Chain Attacks**: Dependency compromise
- **Data Breaches**: Privacy regulation violations
- **Security Incidents**: Incident response effectiveness

#### Mitigation Strategies
- **Regulatory Monitoring**: Continuous compliance monitoring
- **Supply Chain Security**: SLSA and SBOM implementation
- **Data Protection**: Minimal data collection approach
- **Incident Response**: Comprehensive response procedures

### Residual Risks

| Risk | Likelihood | Impact | Mitigation | Residual Risk |
|------|------------|--------|------------|----------------|
| Regulatory Change | Medium | High | Monitoring + Documentation | Low |
| Supply Chain Attack | Low | High | SLSA + SBOM + Audits | Very Low |
| Data Breach | Low | Medium | No data collection | Very Low |
| Security Incident | Medium | Medium | Response procedures | Low |

## Audit and Assessment

### Internal Audits

**Frequency**: Quarterly
**Scope**:
- Compliance documentation review
- Security control effectiveness
- Process adherence verification
- Regulatory requirement updates

**Evidence**:
- Audit logs maintained
- Corrective actions tracked
- Management review records

### External Assessments

**Frequency**: Annual
**Scope**:
- Third-party security assessment
- Compliance certification
- Vulnerability assessment
- Code security review

**Planning**:
- Budget allocation for external audits
- Vendor selection criteria
- Assessment scope definition
- Remediation planning

## Continuous Compliance

### Regulatory Monitoring

- **Regulatory Updates**: Automated monitoring of requirement changes
- **Industry Standards**: Participation in standards development
- **Peer Benchmarking**: Comparison with industry leaders
- **Best Practice Adoption**: Implementation of emerging standards

### Compliance Automation

- **Automated Checks**: CI/CD compliance validation
- **Policy as Code**: Infrastructure compliance testing
- **Continuous Monitoring**: Real-time compliance status
- **Automated Reporting**: Compliance metric dashboards

### Training and Awareness

- **Compliance Training**: Annual regulatory training
- **Security Awareness**: Ongoing security education
- **Process Training**: Incident response and review procedures
- **Documentation Training**: Compliance documentation maintenance

## Future Compliance Requirements

### Anticipated Changes

#### EU Cyber Resilience Act (2025-2027)
- **Phased Implementation**: Increasing SBOM requirements
- **Conformity Assessment**: Third-party security evaluation
- **Vulnerability Reporting**: Enhanced disclosure requirements
- **Supply Chain Security**: Deeper provenance requirements

#### US Executive Orders
- **Software Bill of Materials**: Expanded SBOM requirements
- **Open Source Security**: Enhanced open source security measures
- **Federal Procurement**: Security requirements for government contracts

#### Industry Standards Evolution
- **SLSA Levels**: Progression to Level 4 requirements
- **SBOM Standards**: Enhanced metadata and verification
- **Cryptographic Agility**: Post-quantum cryptography preparation

### Compliance Roadmap

#### 2025 Q2-Q3
- [ ] Enhanced SBOM metadata
- [ ] SLSA Level 4 preparation
- [ ] Post-quantum crypto evaluation

#### Future Enhancements
- Enhanced SBOM metadata and formats
- Advanced threat detection and modeling
- Regulatory compliance automation
- Advanced provenance and supply chain monitoring

## References

- [SLSA Framework](https://slsa.dev/)
- [NIST Cybersecurity Framework](https://www.nist.gov/cyberframework)
- [ISO 27001 Information Security](https://www.iso.org/standard/54534.html)
- [GDPR Official Text](https://gdpr-info.eu/)
- [EU Cyber Resilience Act](https://digital-strategy.ec.europa.eu/en/policies/cyber-resilience-act)
- [PCI-DSS 4.0](https://www.pcisecuritystandards.org/pci_security/)
- [SOC 2 Trust Services](https://www.aicpa.org/interestareas/frc/assuranceadvisoryservices/aicpasoc2report.html)

---

**Document Control:**
- **Author**: Lionel Hamayon
- **Reviewers**: Project Contributors
- **Review Cycle**: Annual
- **Distribution**: Public