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<h1>Security Policy for CAcert Systems</h1>
<p><a href="PolicyOnPolicy.html"><img src="Images/cacert-wip.png" id="graphics1" alt="CAcert Security Policy Status == wip" align="bottom" border="0" height="33" width="90"></a>
<br>
Creation date: 2009-02-16<br>
Status: <i>work-in-progress</i>
</p>
<h2><a name="1">1.</a> INTRODUCTION</h2>
<h3><a name="1.1">1.1.</a> Motivation and Scope </h3>
<p>
This Security Policy sets out the policy
for the secure operation of the CAcert critical computer systems.
These systems include:
</p>
<ol><li>
Physical hardware mounting the logical services
</li><li>
Webserver + database (core server(s))
</li><li>
Signing service (signing server)
</li><li>
Support interface
</li><li>
Source code (changes and patches)
</li></ol>
<h4><a name="1.1.1">1.1.1.</a> Effected Personnel </h4>
<p>
These roles are directly covered:
</p>
<ul><li>
Access Engineers
</li><li>
Systems Administrators
</li><li>
Supporters
</li><li>
Software Assessors
</li></ul>
<h4><a name="1.1.1">1.1.2.</a> Out of Scope </h4>
<p>
Non-critical systems are not covered by this manual,
but may be guided by it, and impacted where they are
found within the security context.
Architecture is out of scope, see CPS#6.2.
</p>
<h3><a name="1.2">1.2.</a> Principles </h3>
<p>
Important principles of this Security Policy are:
</p>
<ul><li>
<i>dual control</i> -- at least two individuals must control a task
</li><li>
<i>four eyes</i> -- at least two individuals must participate in a task,
one to execute and one to observe.
</li><li>
<i>redundancy</i> -- no single individual is the only one authorized
to perform a task.
</li><li>
<i>escrow</i> -- where critical information (backups, passphrases)
is kept with other parties
</li><li>
<i>logging</i> -- where events are recorded in a file
</li><li>
<i>separation of concerns</i> -- when a core task is split between
two people from different areas
</li><li>
<i>Audit</i> -- where external reviewers do checks on practices and policies
</li></ul>
<p>
Each task or asset is covered by a variety of protections
deriving from the above principles.
</p>
<h3><a name="1.3">1.3.</a> Definition of Terms</h3>
<dl>
<dt><i>Access Engineer</i> </dt>
<dd>
A Member who manages the critical hardware,
including maintenance, access control and physical security.
See &sect;1.1.
</dd>
<dt><i>Software Assessor </i> </dt>
<dd>
A Member who reviews patches for security and workability,
signs-off on them, and incorporates them into the repository.
See &sect;7.
</dd>
<dt><i>Support ???</i> <span class="q"> noun needed here</span> </dt>
<dd>
A Member who mans the support list,
and has access to restricted
data through the online interface.
See &sect;8.
</dd>
<dt><i>Systems Administrator</i> </dt>
<dd>
A Member who manages a critial system, and has access
to security-sensitive functions or data.
</dd>
</dl>
<h3><a name="1.4">1.4.</a> Documents and Version control</h3>
<h4><a name="1.4.1">1.4.1.</a> The Security Policy Document </h4>
<p>
This Security Policy is part of the configuration-control specification
for audit purposes (DRC).
It is under the control of Policy on Policy for version purposes.
</p>
<p align="center">These parts are not part of the policy: <span class="q">green comments</span>, <span class="error">red errors</span>.</p>
<p>
This policy document says what is done, rather than how to do it.
</p>
<h4><a name="1.4.2">1.4.2.</a> The Security Manual (Practices) Document </h4>
<p>
This Policy explicitly defers detailed security practices to the
<a href="http://wiki.cacert.org/wiki/SecurityManual">Security Manual</a>
("SM"),
The SM says how things are done.
As practices are things that vary from time to time,
including between each event of practice,
the SM is under the direct control of the Systems Administration team.
It is located and version-controlled on the CAcert wiki.
</p>
<p>
Section Headings are the same in both documents.
Where Sections are empty in one document,
they are expected to be documented in the other.
</p>
<h4><a name="1.4.3">1.4.3.</a> The Security Procedures </h4>
<p>
The team leaders may from time to time
explicitly defer single, cohesive components of the
security practices into separate procedures documents.
Each procedure should be managed in a wiki page under
their control, probably at
<a href="http://wiki.cacert.org/wiki/SystemAdministration/Procedures">
SystemAdministration/Procedures</a>.
Each procedure must be referenced explicitly in the Security Manual.
</p>
<h2><a name="2">2.</a> PHYSICAL SECURITY</h2>
<h3><a name="2.1">2.1.</a> Facility </h3>
<p>
CAcert shall host critical servers in a highly secure facility.
There shall be independent verification of the physical and
access security.
</p>
<h3><a name="2.2">2.2.</a> Physical Assets </h3>
<ul class="q"><li>
Big change is to place Oophaga INSIDE the SM/SP.
</li><li>
2nd Change is to place Oophaga in SP and in SM:
<ul>
<li> role of Access Engineer is in SP.</li>
<li> detail in the SM.</li>
</ul>
</li></ul>
<h4><a name="2.2.1">2.2.1.</a> Computers </h4>
<p>
Computers shall be inventoried before being put into service.
Inventory list shall be available to all
Access Engineeers and all Systems Administrators.
List must be subject to change control.
</p>
<p>
Units shall have nickname clearly marked on front and rear of chassis.
Machines shall be housed in secured facilities (cages and/or locked racks).
</p>
<h4><a name="2.2.1.1">2.2.1.1</a> Acquisition </h4>
<p>
Acquisition of new equipment that is subject to a
pre-purchase security risk must be done from a
vendor that is regularly and commercially in business.
Precautions must be taken to prevent equipment being
prepared in advance.
</p>
<h4><a name="2.2.2">2.2.2.</a> Service </h4>
<p class="q">Wytze: new section replacing 'cables':</p>
<p>
Equipment that is subject to a service security risk
must be retired if service is required.
See also &sect;2.2.3.3.
</p>
<h4><a name="2.2.3">2.2.3.</a> Media </h4>
<h4><a name="2.2.3.1">2.2.3.1</a> Provisioning </h4>
<p>
Storage media (disk drives, tapes, removable media)
are inventoried upon acquisition and tracked in their use.
</p>
<p>
New storage media (whether disk or removable) shall be
securely wiped and reformatted before use.
</p>
<h4><a name="2.2.3.2">2.2.3.2</a> Storage </h4>
<p>
Removable media shall be securely stored at all times,
including when not in use.
Drives that are kept for reuse are wiped securely before storage.
Reuse can only be within critical systems.
</p>
<p>
When there is a change to status of media,
a report is made to the log specifying the new status.
</p>
<h4><a name="2.2.3.3">2.2.3.3</a> Retirement </h4>
<p>
Storage media that is exposed to critical data and is
to be retired from service shall be destroyed or otherwise secured.
The following steps are to be taken:
</p>
<ol><li>
The media is securely destroyed, <b>or</b>
</li><li>
the media is to be securely erased,
and stored securely.
</li></ol>
<p>
Records of secure erasure and method of final disposal
shall be tracked in the asset inventory.
Where critical data is involved,
two systems administrators must sign-off on each step.
</p>
<h3><a name="2.3">2.3.</a> Physical Access </h3>
<p>
In accordance with the principle of dual control,
at least two persons authorized for access must
be on-site at the same time for physical access to be granted.
</p>
<h4><a name="2.3.1">2.3.1.</a> Access Authorisation </h4>
<p>
Access to physical equipment must be authorised.
</p>
<h4><a name="2.3.2">2.3.2.</a> Access Profiles </h4>
<p>
The Security Manual must present the different access profiles.
At least one Access Engineer must control access in all cases.
At least one systems administrator will be present for
logical access.
Only the most basic and safest of accesses should be done with
one systems administrator present.
</p>
<p>
Only Systems Administrators are authorised to access the data.
All others must not access the data.
All are responsible for protecting the data
from access by those not authorised.
</p>
<h4><a name="2.3.3">2.3.3.</a> Access Logging </h4>
<p>
All physical accesses are logged and reported to all.
</p>
<h4><a name="2.3.4">2.3.4.</a> Emergency Access </h4>
<p>
There is no procedure for emergency access.
If emergency access is gained,
this must be reported and justified immediately.
See DPR.
</p>
<h4><a name="2.3.5">2.3.5.</a> Physical Security codes & devices </h4>
<p>
All personel who are in possession of physical security
codes and devices (keys) are to be authorised and documented.
</p>
<h2><a name="3">3.</a> LOGICAL SECURITY</h2>
<h3><a name="3.1">3.1.</a> Network </h3>
<h4><a name="3.1.1">3.1.1.</a> Infrastructure </h4>
<p>
Current and complete diagrams of the physical and logical CAcert network infrastructure shall be maintained by systems administration team leader. These diagrams should include cabling information, physical port configuration details, and expected/allowed data flow directions, as applicable. Diagrams should be revision controlled, and must be updated when any change is made.
</p>
<h5> 3.1.1.1. External connectivity </h5>
<p>
Only such services as are required for normal operation should be visible externally; systems and servers which do not require access to the Internet for their normal operation must not be granted that access.
</p>
<h5> 3.1.1.2. Internal connectivity </h5>
<p>
System and server connections internal to the CAcert infrastructure should be kept to the minimum required for routine operations. Any new connectivity desired must be requested and approved by system administration team leader and then must be reflected in the appropriate infrastructure diagram(s).
</p>
<h4><a name="3.1.2">3.1.2.</a> Operating Configuration </h4>
<h5> 3.1.2.1. Ingress </h5>
<p>
All ports on which incoming traffic is expected shall be documented; traffic to other ports must be blocked. Unexpected traffic must be logged as an exception.
</p>
<h5> 3.1.2.2. Egress </h5>
<p>
All ports to which outbound traffic is initiated shall be documented; traffic to other ports must be blocked. Unexpected traffic must be logged as an exception.
</p>
<h4><a name="3.1.3">3.1.3.</a> Intrusion detection </h4>
<p>
Logs should be examined regularly (by manual or automatic means) for unusual patterns and/or traffic; anomalies should be investigated as they are discovered and should be reported to appropriate personnel in near-real-time (e.g. text message, email) and investigated as soon as possible. Suspicious activity which may indicate an actual system intrusion or compromise should trigger the incident response protocol described in section 5.1.
</p>
<h3><a name="3.2">3.2.</a> Operating System </h3>
<p>
Any operating system used for critical server machines must be available under an OSI-approved open source software license.
</p>
<h4><a name="3.2.1"> 3.2.1.</a> Disk Encryption </h4>
<p>
Any operating system used for critical server machines must support software full-disk or disk volume encryption, and this encryption option must be enabled for all relevant disks/volumes when the operating system is first installed on the machine.
</p>
<h4><a name="3.2.2"> 3.2.2.</a> Operating configuration </h4>
<p>
Servers must enable only the operating system functions required to support the necessary services. Options and packages chosen at OS install shall be documented, and newly-installed systems must be inspected to ensure that only required services are active, and their functionality is limited through configuration options. Any required application software must follow similar techniques to ensure minimal exposure footprint.
</p>
<p>
Documentation for installing and configuring servers with the appropriate software packages and configurations will be maintained by the system administrators.
</p>
<h4><a name="3.2.3"> 3.2.3.</a> Patching </h4>
<p class="q">A.1.i, A.1.k:</p>
<p>
Software used on production servers must be kept current with respect to patches affecting software security. Patch application is governed by CCS and must be approved by the systems administration team leader, fully documented in the logs and reported by email to the systems administration list on completion (see &sect;4.2).
</p>
<h5><a name="3.2.3.1"> 3.2.3.1.</a> “emergency” patching </h5>
<p>
Application of a patch is deemed an <i>emergency</i>
when a remote exploit for a weakness in the particular piece
of software has become known
(on servers allowing direct local user access,
an emergent local exploit may also be deemed to be an emergency).
Application of patches in this case may occur as soon as possible,
bypassing the normal configuration-change process.
The systems administration team leader must either approve the patch,
instruct remedial action, or refer the case to dispute resolution.
</p>
<p>
<b>
Declaration of an emergency patching situation should not occur with any regularity.
</b>
Emergency patch events must be documented within the regular summaries to Board.
</p>
<h3><a name="3.3"> 3.3.</a> Application </h3>
<p>
Software assessment takes place on various test systems (not a critical system). See &sect;7. Once offered by Software Assessment (team), system administration team leader has to approve the installation of each release or patch.
</p>
<p>
Any changes made to source code must be referred back to software assessment team.
</p>
<h3><a name="3.4"> 3.4.</a> Access control </h3>
<p class="q">
These two paras seem in wrong place.
Either add a "3.4.3. User Access" or?
</p>
<p>
General user access to CAcert services shall normally be conducted through a web-based application interface. Features are made available according to Assurance Points and direct permissions.
</p>
<p>
Direct Permissions are managed by the Application to enable special online administrators from the Support Team access to certain functions.
</p>
<h4><a name="3.4.1"> 3.4.1.</a> Authorisation </h4>
<p class="q"> This bit is expanded! </p>
<p>
The access control lists (see &sect;1.1.1) are:
</p>
<table align="center" border="1"> <tr>
<td>List Name</td>
<td>Who</td>
<td>Purpose of access</td>
<td>Relationship</td>
<td> Manager </td>
</tr><tr>
<td>Physical Control List</td>
<td>Access Engineers</td>
<td>control of access by personnel to hardware</td>
<td>exclusive of all other roles </td>
<td>Boards of CAcert and of Oophaga</td>
</tr><tr>
<td>Physical Access List</td>
<td>systems administrators</td>
<td>hardware-level for installation and recovery</td>
<td>exclusive with Access Engineers and Software Assessors</td>
<td>Boards of CAcert and of Oophaga</td>
</tr><tr>
<td>SSH Access List</td>
<td>systems administrators</td>
<td>Unix / account / shell level</td>
<td> includes by default all on Physical Access List </td>
<td>systems administration team leader</td>
</tr><tr>
<td>Support Access List</td>
<td>supporters</td>
<td>support features in the online interface</td>
<td> includes by default all systems administrators </td>
<td>systems administration team leader</td>
</tr><tr>
<td>Repository Access List</td>
<td>software assessors</td>
<td>change the source code repository</td>
<td>exclusive with Access Engineers and systems administrators</td>
<td>software assessment team leader</td>
</tr></table>
<p>
All changes to the above lists are approved by the board of CAcert.
</p>
<h4><a name="3.4.2"> 3.4.2.</a> Authentication </h4>
<p>
A strong method of authentication is used and documented.
</p>
<h4><a name="3.4.3"> 3.4.3.</a> Removing access </h4>
<p>
Follow-up actions to termination must be documented.
See &sect;9.1.7.
</p>
<h2> <a name="4">4.</a> OPERATIONAL SECURITY </h2>
<h3> <a name="4.1">4.1.</a> System administration </h3>
<p>
Primary systems administration tasks
shall be conducted under four eyes principle.
These shall include backup performance verification,
software patch application,
account creation and deletion,
and hardware maintenance.
</p>
<h4> <a name="4.1.1">4.1.1.</a> Privileged accounts and passphrases </h4>
<p>
Access to Accounts
(root and user via SSH or console)
must be strictly controlled.
Passphrases and SSH private keys used for entering into the systems
will be kept private
to CAcert sysadmins in all cases.
</p>
<h5> <a name="4.1.1.1">4.1.1.1.</a> Authorized users </h5>
<p>
Only system administrators designated on the
Access Lists
in &sect;3.4.1
shall be authorized to access accounts.
</p>
<h5> <a name="4.1.1.2">4.1.1.2.</a> Access to Systems</h5>
<p>
All access is secured, logged and monitored.
</p>
<h5> <a name="4.1.1.3">4.1.1.3.</a> Changing </h5>
<p>
The procedure for changing passphrases and SSH keys should be documented.
</p>
<h5> <a name="4.1.1.4">4.1.1.4.</a> Outsourcing </h5>
<p>
Systems administration team leader may outsource non-critical
components such as DNS servers.
Outsourcing should be to Members who are Assurers,
who have the appropriate technical knowledge,
and are in good contact with team leader.
</p>
<h4> <a name="4.1.2">4.1.2.</a> Required staff response time </h4>
<p>
Response times should be documented for Disaster Recovery planning. See &sect;6.
</p>
<h4> <a name="4.1.3">4.1.3.</a> Change management procedures </h4>
<p>
All changes made to system configuration must be recorded.
</p>
<h3> <a name="4.2">4.2.</a> Logging </h3>
<h4> <a name="4.2.1">4.2.1.</a> Coverage </h4>
<p>
All sensitive events should be logged.
Logs should be deleted after an appropriate amount of time.
</p>
<h4> <a name="4.2.2">4.2.2.</a> Access and Security </h4>
<p>
Access to logs must be restricted.
The security of the logs should be documented.
The records retention should be documented.
</p>
<h4> <a name="4.2.3">4.2.3.</a> Automated logs </h4>
<p>
Logging should be automated,
and use should be made of appropriate system-provided automated tools.
Automated logs should be reviewed periodically;
suspicious events should be flagged and investigated in a timely fashion.
</p>
<h4> <a name="4.2.4">4.2.4.</a> Operational (manual) logs </h4>
<p>
Configuration changes, no matter how small, must be logged.
</p>
<p>
All physical visits must be logged and a
report provided by the accessor and by
the Access Engineer.
</p>
<h3> <a name="4.3">4.3.</a> Backup </h3>
<p>
The procedure for all backups must be documented,
according to the following sub-headings.
</p>
<h4> <a name="4.3.1">4.3.1.</a> Type </h4>
<p>
Backups must be taken for operational
and for disaster recovery purposes.
Operational backups may be online and local.
Disaster recovery backups must be offline and remote.
</p>
<h4> <a name="4.3.2">4.3.2.</a> Frequency </h4>
<h4> <a name="4.3.3">4.3.3.</a> Storage </h4>
<p>
Backups must be protected to the same level as the critical systems themselves.
Disaster recovery backups may be distributed.
</p>
<h4> <a name="4.3.4">4.3.4.</a> Retention period and Re-use </h4>
<h4> <a name="4.3.5">4.3.5.</a> Encryption </h4>
<p>
Backups must be encrypted and must only be transmitted via secured channels.
Off-site backups must be dual-encrypted using divergent methods.
</p>
<h4> <a name="4.3.6">4.3.6.</a> Verifying Backups </h4>
<p>
Two CAcert system administrators must be
present for verification of a backup.
Four eyes principle must be maintained when the key and backup are together.
For any other purpose than verification of the success of the backup, see next.
</p>
<h4> <a name="4.3.7">4.3.7.</a> Key Management </h4>
<p>
The encryption keys must be stored securely by the
CAcert systems administrators.
Paper documentation must be stored with manual backups.
</p>
<h4> <a name="4.3.8">4.3.8.</a> Reading Backups </h4>
<p>
Conditions and procedures for examining the backups
must be documented,
and must be under Arbitrator control for purposes
other than verification and recovery.
</p>
<h3> <a name="4.4">4.4.</a> Data retention </h3>
<h4> <a name="4.4.1">4.4.1.</a> User data </h4>
<p>
Termination of user data is under direction of the Arbitrator.
See CCA.
</p>
<h4> <a name="4.4.2">4.4.2.</a> System logs </h4>
<h4> <a name="4.4.3">4.4.3.</a> Incident reports </h4>
<p>
Document.
See &sect;5.6.
</p>
<h2><a name="5">5.</a> INCIDENT RESPONSE</h2>
<h3> <a name="5.1">5.1.</a> Incidents </h3>
<p>
Incidents and sources of important events and logging should be documented.
</p>
<h3> <a name="5.2">5.2.</a> Detection </h3>
<p>
The standard of monitoring, alerting and reporting must be documented.
</p>
<h3> <a name="5.3">5.3.</a> Immediate Action </h3>
<h4> <a name="5.2.1">5.2.1.</a> Severity and Priority </h4>
<p>
On discovery of an incident,
an initial assessment of severity and priority must be made.
</p>
<h4> <a name="5.2.2">5.2.2.</a> Communications </h4>
<p>
An initial report should be sent to systems administrators
and wider interested parties.
</p>
<p>
A communications forum should be established for direct
support of high priority or high severity incidents.
</p>
<h4> <a name="5.2.3">5.2.3.</a> Oversight </h4>
<p>
A process of escalation of oversight should be eastablished.
</p>
<h3> <a name="5.4">5.4.</a> Investigation </h3>
<p>
Incidents must be investigated.
The investigation must be documented.
Evidence must be secured if the severity is high.
</p>
<h3> <a name="5.5">5.5.</a> Response </h3>
<h3> <a name="5.6">5.6.</a> Report </h3>
<p>
Incident reports must be published.
The Incident Report is written on closing the investigation.
A full copy should be appended to the
documentation of the investigation.
Sensitive information may be pushed out into
a restricted appendix of the report.
The systems administration team leader is responsible
for publication and maintenance.
</p>
<p>
Incidents are not normally kept secret nor confidential.
and progress information should be published as soon as
possible.
The knowledge of the existence of the event must not be kept
secret, nor the manner and methods be kept confidential.
</p>
<p class="q">
The following is a general confidentiality and secrecy
clause. Suggest moving this to new section 9.7.
</p>
<p>
Only under a defined exception under policy,
or under the oversight of the Arbitrator,
may confidentiality be maintained.
</p>
<h2><a name="6">6.</a> DISASTER RECOVERY</h2>
<p>
Disaster Recovery is the responsibility of the Board of CAcert Inc.
</p>
<h3> <a name="6.1"> 6.1. </a> Business Processes </h3>
<p>
Board must develop and maintain documentation on Business Processes.
From this list, Core Processes for business continuity / disaster recovery
purposes must be identified.
</p>
<h3> <a name="6.2"> 6.2. </a> Recovery Times </h3>
<p>
Board should identify standard process times for all processes,
and must designate Maximum Acceptable Outages
and Recovery Time Objectives for the Core Processes.
</p>
<h3> <a name="6.3"> 6.3. </a> Plan </h3>
<p>
Board must have a basic plan to recover.
</p>
<h3> <a name="6.4"> 6.4. </a> Key Persons List </h3>
<p>
Board must maintain a key persons List with all the
contact information needed.