# Security & Access Control - Business Requirements

**Document Version**: 2.0
**Date**: January 2025
**Last Updated**: December 18, 2025
**Status**: Business Requirements Specification
**Module**: Security & Access Control (`pkg/security/`)

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## Changelog

### Version 2.0 (December 18, 2025)
- **BR-AUDIT-005 EXPANDED**: Upgraded from basic real-time event streaming to comprehensive enterprise-grade audit integrity and compliance
- **V1.0 Scope** (USA Enterprise): Tamper-evidence, legal hold, signed exports, RBAC audit API, RR reconstruction API (100% field coverage), SOC 2 Type II readiness
- **V1.1 Scope** (European & Advanced): PII pseudonymization, EU AI Act compliance, CLI wrapper, GDPR full compliance
- **Market Focus**: V1.0 targets USA enterprise customers (open source deployment model), V1.1 adds European market compliance
- **Authority**: BR-AUDIT-005 v2.0 now serves as the authoritative requirement for all V1.0 and V1.1 enterprise compliance work
- **Target**: 92% enterprise compliance at V1.0 launch (USA), 98% at V1.1 launch (global), 100% RR reconstruction accuracy (both versions)
- **Implementation Plan**: [AUDIT_V1_0_ENTERPRISE_COMPLIANCE_PLAN_DEC_18_2025.md](../../handoff/AUDIT_V1_0_ENTERPRISE_COMPLIANCE_PLAN_DEC_18_2025.md)

### Version 1.0 (January 2025)
- Initial security and access control business requirements
- Basic audit logging and compliance requirements (BR-AUDIT-001 to BR-AUDIT-020)

---

## 1. Purpose & Scope

### 1.1 Business Purpose
The Security & Access Control layer provides comprehensive authentication, authorization, role-based access control (RBAC), and secure secrets management to ensure that all Kubernaut operations are performed by authorized entities with appropriate permissions, maintaining security and compliance standards.

### 1.2 Scope
- **v1**: OAuth2 authentication via Kubernetes API server (simplified security model)
- **v2**: Enterprise identity provider integration (LDAP, SAML, SSO) - deferred for complexity reduction
- **Role-Based Access Control (RBAC)**: User and service authentication with fine-grained permissions
- **Secrets Management**: Secure storage, retrieval, and rotation of sensitive configuration
- **Access Control**: Authorization enforcement across all system components
- **Security Auditing**: Comprehensive security event logging and compliance

---

## 2. Role-Based Access Control (RBAC)

### 2.1 Business Capabilities

#### 2.1.1 User & Service Authentication
- **BR-RBAC-001**: MUST authenticate users and service accounts before granting access
- **BR-RBAC-002**: MUST support authentication methods
  - **v1**: OAuth2 via Kubernetes API server (service accounts, tokens)
  - **v2**: Multiple methods (API keys, certificates, enterprise providers)
- **BR-RBAC-003**: MUST integrate with identity providers
  - **v1**: Kubernetes API server OAuth2 integration
  - **v2**: Enterprise identity providers (LDAP, Active Directory, SAML)
- **BR-RBAC-004**: MUST implement authentication for administrative operations
  - **v1**: Kubernetes RBAC-based authentication
  - **v2**: Multi-factor authentication for enhanced security
- **BR-RBAC-005**: MUST provide secure session management with configurable timeouts

#### 2.1.2 Permission Management
- **BR-RBAC-006**: MUST define granular permissions for all Kubernetes operations
- **BR-RBAC-007**: MUST control access to AI model training and configuration
- **BR-RBAC-008**: MUST manage permissions for workflow creation and execution
- **BR-RBAC-009**: MUST control access to sensitive logs and audit information
- **BR-RBAC-010**: MUST implement permission inheritance and delegation

#### 2.1.3 Role Hierarchy & Management
- **BR-RBAC-011**: MUST provide predefined roles (viewer, operator, developer, admin)
- **BR-RBAC-012**: MUST support custom role creation and modification
- **BR-RBAC-013**: MUST implement role hierarchy with permission inheritance
- **BR-RBAC-014**: MUST support role assignment and revocation
- **BR-RBAC-015**: MUST provide role-based dashboard and UI customization

#### 2.1.4 Access Control Enforcement
- **BR-RBAC-016**: MUST enforce permissions at API endpoints and service boundaries
- **BR-RBAC-017**: MUST implement resource-level access control (namespace, cluster-scoped)
- **BR-RBAC-018**: MUST support conditional access based on context (time, location, etc.)
- **BR-RBAC-019**: MUST provide emergency access procedures with full audit logging
- **BR-RBAC-020**: MUST implement least-privilege access by default

### 2.2 Enterprise Integration
- **BR-RBAC-021**: MUST integrate with enterprise SSO systems (SAML, OAuth2, OIDC)
- **BR-RBAC-022**: MUST support dynamic user provisioning and deprovisioning
- **BR-RBAC-023**: MUST provide user attribute mapping from external identity sources
- **BR-RBAC-024**: MUST implement group-based access control from external directories
- **BR-RBAC-025**: MUST support federated authentication across multiple domains

---

## 3. Secrets Management

### 3.1 Business Capabilities

#### 3.1.1 Secure Storage & Encryption
- **BR-SEC-001**: MUST encrypt all secrets at rest using industry-standard encryption (AES-256)
- **BR-SEC-002**: MUST support multiple storage backends (memory, file, Kubernetes secrets, HashiCorp Vault)
- **BR-SEC-003**: MUST implement secure key derivation and management
- **BR-SEC-004**: MUST provide tamper-proof secret storage with integrity verification
- **BR-SEC-005**: MUST support encrypted secret transmission with TLS

#### 3.1.2 Secret Lifecycle Management
- **BR-SEC-006**: MUST implement automatic secret rotation for time-sensitive credentials
- **BR-SEC-007**: MUST support manual secret rotation with zero-downtime updates
- **BR-SEC-008**: MUST provide secret versioning and rollback capabilities
- **BR-SEC-009**: MUST implement secret expiration and renewal workflows
- **BR-SEC-010**: MUST support secret backup and disaster recovery procedures

#### 3.1.3 Access Control & Auditing
- **BR-SEC-011**: MUST control secret access using RBAC permissions
- **BR-SEC-012**: MUST log all secret access attempts with full audit trail
- **BR-SEC-013**: MUST implement secret access rate limiting and anomaly detection
- **BR-SEC-014**: MUST provide secret usage analytics and reporting
- **BR-SEC-015**: MUST support secret access approval workflows for sensitive data

#### 3.1.4 Integration & Automation
- **BR-SEC-016**: MUST integrate with external secret management systems
- **BR-SEC-017**: MUST support secret injection into workflows and applications
- **BR-SEC-018**: MUST provide secret reference resolution in configuration
- **BR-SEC-019**: MUST implement secret synchronization across environments
- **BR-SEC-020**: MUST support secret templating and variable substitution

---

## 4. Security Compliance & Auditing

### 4.1 Business Capabilities

#### 4.1.1 Comprehensive Audit Logging
- **BR-AUDIT-001**: MUST log all authentication and authorization attempts
- **BR-AUDIT-002**: MUST record all administrative actions with user attribution
- **BR-AUDIT-003**: MUST track all secret access and modification events
- **BR-AUDIT-004**: MUST implement immutable audit logs with integrity protection
- **BR-AUDIT-005 v2.0**: **Enterprise-Grade Audit Integrity and Compliance** (EXPANDED - December 2025)
  - **v1.0 Baseline**: Real-time security event streaming
  - **v2.0 V1.0 Scope** (USA Enterprise Focus - 10.5 days):
    1. **Tamper-Evident Audit Logs**: MUST implement cryptographic hashing (SHA-256) for immutable, tamper-proof audit trails
    2. **Legal Hold Mechanism**: MUST support litigation hold to prevent audit log deletion during legal proceedings
    3. **Signed Audit Exports**: MUST provide digitally signed audit exports with chain of custody for legal evidence
    4. **RBAC for Audit API**: MUST enforce role-based access control for audit data queries with principle of least privilege
    5. **RR CRD Reconstruction**: MUST support RemediationRequest CRD reconstruction from audit traces via REST API (100% field coverage including optional TimeoutConfig)[^1]
    6. **Multi-Framework Compliance** (USA Enterprise): MUST achieve readiness for:
       - SOC 2 Type II (90% at V1.0) - PRIMARY TARGET
       - ISO 27001 (85% at V1.0)
       - NIST 800-53 (88% at V1.0)
       - HIPAA (80% at V1.0)
       - PCI-DSS (75% at V1.0)
       - Sarbanes-Oxley (70% at V1.0)
    7. **Operational Integrity**: MUST provide forensic investigation capabilities, complete audit trail for all business operations, and support for external audit evidence collection
  - **v2.0 V1.1 Scope** (European & Advanced Features - 8.5 days):
    1. **PII Pseudonymization** (0.5 days): MUST pseudonymize Personally Identifiable Information (emails, usernames) in audit events for GDPR/CCPA compliance
       - One-way hashing (SHA-256 + cluster-specific salt)
       - Applies to RAR (Remediation Authorization Request) approver/requester fields
       - Applies to notification recipient fields
    2. **EU AI Act Compliance** (8 days): MUST comply with EU Regulation 2024/1689 (AI Act) for high-risk AI systems:
       - Risk Management System (Article 9): Formal risk assessment, mitigation procedures, monitoring plan
       - Technical Documentation (Article 11): EU Declaration of Conformity, system design specs, validation reports
       - Transparency (Article 13): User-facing AI decision explanations, plain-language documentation
       - Accuracy & Robustness (Article 15): Measured accuracy metrics, robustness testing results, cybersecurity assessment
       - Target: EU market readiness (applies August 2026)
    3. **CLI Wrapper** (1-2 days): Command-line interface for RR reconstruction (thin wrapper around REST API)
    4. **GDPR Full Compliance** (95%+): European data protection requirements with PII pseudonymization
  - **Implementation Authority**: See [AUDIT_V1_0_ENTERPRISE_COMPLIANCE_PLAN_DEC_18_2025.md](../../handoff/AUDIT_V1_0_ENTERPRISE_COMPLIANCE_PLAN_DEC_18_2025.md) for V1.0 implementation plan (10.5 days)
  - **Target**: 92% enterprise compliance at V1.0 launch (USA focus), 98% at V1.1 launch (global)
  - **Gap Analysis**: [AUDIT_COMPLIANCE_100_PERCENT_GAP_ANALYSIS_DEC_18_2025.md](../../handoff/AUDIT_COMPLIANCE_100_PERCENT_GAP_ANALYSIS_DEC_18_2025.md)

#### 4.1.2 Compliance Reporting
- **BR-AUDIT-006**: MUST generate compliance reports for SOC2, SOX, and PCI requirements
- **BR-AUDIT-007**: MUST support GDPR compliance with data privacy protections
- **BR-AUDIT-008**: MUST provide ISO 27001 compliance documentation
- **BR-AUDIT-009**: MUST implement data retention policies meeting regulatory requirements
- **BR-AUDIT-010**: MUST support external audit integration and evidence collection

#### 4.1.3 Security Monitoring
- **BR-AUDIT-011**: MUST detect and alert on suspicious access patterns
- **BR-AUDIT-012**: MUST implement brute force attack detection and prevention
- **BR-AUDIT-013**: MUST monitor for privilege escalation attempts
- **BR-AUDIT-014**: MUST track and alert on policy violations
- **BR-AUDIT-015**: MUST provide security dashboard with real-time threat visibility

#### 4.1.4 Incident Response
- **BR-AUDIT-016**: MUST support security incident investigation workflows
- **BR-AUDIT-017**: MUST provide evidence collection and forensic capabilities
- **BR-AUDIT-018**: MUST implement automated response to security threats
- **BR-AUDIT-019**: MUST support security incident containment and remediation
- **BR-AUDIT-020**: MUST provide post-incident analysis and improvement recommendations

#### 4.1.5 Workflow Selection Audit Trail (Extended)

> **See**: [BR-AUDIT-021-030-WORKFLOW-SELECTION-AUDIT-TRAIL.md](./BR-AUDIT-021-030-WORKFLOW-SELECTION-AUDIT-TRAIL.md)

The following audit requirements extend the base audit capabilities for workflow catalog operations:

- **BR-AUDIT-021**: MUST propagate `remediation_id` from HolmesGPT API to Data Storage Service
- **BR-AUDIT-022**: HolmesGPT API MUST NOT generate audit events (Data Storage responsibility)
- **BR-AUDIT-023**: Data Storage Service MUST generate audit event for every workflow search
- **BR-AUDIT-024**: Audit MUST be asynchronous and non-blocking (ADR-038 pattern)
- **BR-AUDIT-025**: MUST capture complete query metadata in audit events
- **BR-AUDIT-026**: MUST capture complete scoring breakdown (confidence, boost, penalty)
- **BR-AUDIT-027**: MUST capture full workflow metadata for each returned workflow
- **BR-AUDIT-028**: MUST capture search execution metadata (timing, index usage)
- **BR-AUDIT-029**: MUST retain audit events per compliance requirements (90-365 days)
- **BR-AUDIT-030**: MUST provide API endpoints for querying workflow selection audit events

---

## 5. Enterprise Security Features

### 5.1 Business Capabilities

#### 5.1.1 Network Security
- **BR-NET-001**: MUST enforce TLS encryption for all network communications
- **BR-NET-002**: MUST support certificate-based authentication and authorization
- **BR-NET-003**: MUST implement network segmentation and access control lists
- **BR-NET-004**: MUST provide VPN and secure tunnel support
- **BR-NET-005**: MUST support firewall integration and traffic filtering

#### 5.1.2 Data Protection
- **BR-DATA-001**: MUST implement data classification and handling policies
- **BR-DATA-002**: MUST provide data anonymization for non-production environments
- **BR-DATA-003**: MUST support data residency and geographic restrictions
- **BR-DATA-004**: MUST implement data loss prevention (DLP) capabilities
- **BR-DATA-005**: MUST provide secure data backup and recovery

#### 5.1.3 Vulnerability Management
- **BR-VULN-001**: MUST implement security scanning and vulnerability assessment
- **BR-VULN-002**: MUST provide security patch management and deployment
- **BR-VULN-003**: MUST support penetration testing and security validation
- **BR-VULN-004**: MUST implement security configuration management
- **BR-VULN-005**: MUST provide security risk assessment and mitigation

#### 5.1.4 Secure Development
- **BR-SDEV-001**: MUST implement secure coding standards and practices
- **BR-SDEV-002**: MUST provide security code review and static analysis
- **BR-SDEV-003**: MUST implement security testing in CI/CD pipelines
- **BR-SDEV-004**: MUST support security dependency scanning and management
- **BR-SDEV-005**: MUST provide security training and awareness programs

---

## 6. Performance Requirements

### 6.1 Authentication & Authorization Performance
- **BR-PERF-001**: Authentication requests MUST complete within 500ms for 95% of requests
- **BR-PERF-002**: Authorization checks MUST complete within 100ms for local permissions
- **BR-PERF-003**: MUST support 1000 concurrent authentication requests
- **BR-PERF-004**: Role assignment operations MUST complete within 1 second
- **BR-PERF-005**: MUST cache permissions with 95% cache hit rate for repeated checks

### 6.2 Secrets Management Performance
- **BR-PERF-006**: Secret retrieval MUST complete within 200ms for cached secrets
- **BR-PERF-007**: Secret storage operations MUST complete within 500ms
- **BR-PERF-008**: MUST support 500 concurrent secret access requests
- **BR-PERF-009**: Secret rotation MUST complete within 30 seconds
- **BR-PERF-010**: MUST maintain <1% performance overhead for security operations

### 6.3 Audit & Compliance Performance
- **BR-PERF-011**: Audit log ingestion MUST handle 10,000 events per minute
- **BR-PERF-012**: Security report generation MUST complete within 5 minutes
- **BR-PERF-013**: Real-time security monitoring MUST have <5 second detection latency
- **BR-PERF-014**: Compliance queries MUST respond within 10 seconds
- **BR-PERF-015**: MUST support 30-day audit log retention with efficient querying

---

## 7. Reliability & Availability Requirements

### 7.1 High Availability
- **BR-REL-001**: Security services MUST maintain 99.99% availability
- **BR-REL-002**: MUST support active-passive failover for authentication services
- **BR-REL-003**: MUST continue basic operations during security service degradation
- **BR-REL-004**: MUST implement circuit breakers for external security dependencies
- **BR-REL-005**: MUST provide backup authentication methods during outages

### 7.2 Data Integrity & Recovery
- **BR-REL-006**: MUST ensure 100% integrity for authentication and authorization data
- **BR-REL-007**: MUST implement secure backup and recovery for security configurations
- **BR-REL-008**: MUST provide disaster recovery with <1 hour RTO for security services
- **BR-REL-009**: MUST maintain audit log integrity with tamper-proof storage
- **BR-REL-010**: MUST support secure replication across geographic regions

### 7.3 Fault Tolerance
- **BR-REL-011**: MUST gracefully handle external identity provider failures
- **BR-REL-012**: MUST provide fallback authentication mechanisms
- **BR-REL-013**: MUST implement security service health monitoring
- **BR-REL-014**: MUST support automated recovery from security service failures
- **BR-REL-015**: MUST maintain security enforcement during partial system failures

---

## 8. Integration Requirements

### 8.1 Internal Integration
- **BR-INT-001**: MUST integrate with all Kubernaut components for access control
- **BR-INT-002**: MUST coordinate with workflow engine for execution authorization
- **BR-INT-003**: MUST integrate with AI components for model access control
- **BR-INT-004**: MUST coordinate with platform layer for Kubernetes RBAC
- **BR-INT-005**: MUST integrate with monitoring systems for security metrics

### 8.2 External Integration
- **BR-INT-006**: MUST integrate with enterprise identity management systems
- **BR-INT-007**: MUST support external secret management platforms (HashiCorp Vault, AWS Secrets Manager)
- **BR-INT-008**: MUST integrate with SIEM systems for security event correlation
- **BR-INT-009**: MUST support compliance management platforms
- **BR-INT-010**: MUST integrate with certificate authorities for PKI management

---

## 9. Security Standards & Compliance

### 9.1 Industry Standards
- **BR-STD-001**: MUST comply with OAuth 2.0 and OpenID Connect specifications
- **BR-STD-002**: MUST implement NIST Cybersecurity Framework guidelines
- **BR-STD-003**: MUST support FIDO2/WebAuthn for passwordless authentication
- **BR-STD-004**: MUST comply with OWASP security best practices
- **BR-STD-005**: MUST implement zero-trust security architecture principles

### 9.2 Encryption Standards
- **BR-ENC-001**: MUST use FIPS 140-2 Level 2 approved encryption algorithms
- **BR-ENC-002**: MUST implement Perfect Forward Secrecy for network communications
- **BR-ENC-003**: MUST support Hardware Security Module (HSM) integration
- **BR-ENC-004**: MUST provide quantum-resistant encryption options
- **BR-ENC-005**: MUST implement secure key management lifecycle

### 9.3 Regulatory Compliance
- **BR-REG-001**: MUST support SOC2 Type II compliance requirements
- **BR-REG-002**: MUST implement GDPR data protection and privacy requirements
- **BR-REG-003**: MUST support HIPAA compliance for healthcare environments
- **BR-REG-004**: MUST comply with PCI DSS for payment processing environments
- **BR-REG-005**: MUST support FedRAMP compliance for government deployments

---

## 10. User Experience & Management

### 10.1 Administrative Interface
- **BR-UX-001**: MUST provide intuitive web-based security management interface
- **BR-UX-002**: MUST support command-line tools for security operations
- **BR-UX-003**: MUST provide role-based UI customization and access control
- **BR-UX-004**: MUST implement self-service password reset and account management
- **BR-UX-005**: MUST provide comprehensive security documentation and help

### 10.2 Security Analytics & Reporting
- **BR-UX-006**: MUST provide real-time security dashboards and visualization
- **BR-UX-007**: MUST support custom security report generation
- **BR-UX-008**: MUST provide security trend analysis and insights
- **BR-UX-009**: MUST implement interactive security investigation tools
- **BR-UX-010**: MUST provide executive-level security posture reporting

---

## 11. Business Value & ROI

### 11.1 Risk Mitigation
- **BR-ROI-001**: MUST reduce security incident response time by 70%
- **BR-ROI-002**: MUST prevent unauthorized access attempts with 99.9% effectiveness
- **BR-ROI-003**: MUST reduce compliance audit preparation time by 60%
- **BR-ROI-004**: MUST decrease security policy violation rates by 80%
- **BR-ROI-005**: MUST minimize human error in security operations by 50%

### 11.2 Operational Efficiency
- **BR-ROI-006**: MUST automate 90% of routine security operations
- **BR-ROI-007**: MUST reduce manual security administration effort by 70%
- **BR-ROI-008**: MUST accelerate user onboarding and provisioning by 80%
- **BR-ROI-009**: MUST improve security team productivity by 60%
- **BR-ROI-010**: MUST reduce security false positive rates by 75%

### 11.3 Business Continuity
- **BR-ROI-011**: MUST ensure zero business disruption from security operations
- **BR-ROI-012**: MUST maintain 24/7 security monitoring and response capability
- **BR-ROI-013**: MUST support business growth without proportional security overhead
- **BR-ROI-014**: MUST enable secure remote work and access patterns
- **BR-ROI-015**: MUST provide secure foundation for digital transformation initiatives

---

## 12. Success Criteria

### 12.1 Technical Success
- Security services maintain 99.99% availability with enterprise SLA compliance
- Authentication and authorization operate with <100ms latency for 95% of requests
- Secrets management provides secure, automated lifecycle management
- Comprehensive audit logging captures 100% of security events
- Integration with enterprise security infrastructure is seamless and reliable

### 12.2 Security Success
- Zero successful unauthorized access attempts to critical systems
- 100% compliance with regulatory and industry security standards
- Comprehensive threat detection and response within industry best practice timeframes
- Complete audit trail and forensic capabilities for security investigations
- Proactive vulnerability management with rapid remediation

### 12.3 Business Success
- Security capabilities enable confident enterprise deployment and scaling
- Automated security operations reduce manual overhead by 70%
- Compliance requirements are met with minimal operational burden
- Security becomes an enabler rather than an impediment to business operations
- Risk reduction and compliance demonstrate clear ROI to business stakeholders

---

## Footnotes

[^1]: **100% Reconstruction Accuracy Definition**: Captures all `.spec` fields (immutable, system-generated at RR creation) and all system-managed `.status` fields (lifecycle phases, timestamps, references). User-modified status fields (e.g., manual phase transitions, custom annotations added after RR creation) are intentionally excluded as they represent human intervention after the original RR was created and cannot be derived from the original signal/event data. This definition ensures we can recreate the RR exactly as the system originally created it, which is the primary use case for enterprise audit compliance and incident investigation.

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*This document serves as the definitive specification for business requirements of Kubernaut's Security & Access Control components. All implementation and testing should align with these requirements to ensure enterprise-grade security, compliance, and risk management capabilities.*
