dbis_core/docs/security/SECURITY_CONTROL_MATRIX.md

Security Control Matrix

Version: 1.0.0
Last Updated: 2025-01-20
Status: Active Documentation

Overview

This document provides a unified security control matrix covering all security domains identified in the threat model:

• Key Management
• PII Protection
• Money Movement
• Infrastructure Security

Each control is mapped to compliance standards (PCI-DSS, SOC 2, ISO 27001) and includes implementation status and responsible components.

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Control Matrix

Key Management Controls

Control ID	Control Name	Category	Implementation Status	Responsible Service/Component	Compliance Mapping	Test Coverage
KM-001	Private Key Storage (HSM)	Keys	✅ Implemented	HSM/KMS Integration	PCI-DSS 3.5.1, ISO 27001 A.10.1.2	✅ Unit Tests
KM-002	Key Rotation Procedures	Keys	✅ Implemented	Key Management Service	PCI-DSS 3.5.2, ISO 27001 A.10.1.2	✅ Integration Tests
KM-003	Key Access Controls	Keys	✅ Implemented	Access Control Service	PCI-DSS 7.2.1, SOC 2 CC6.1	✅ Unit Tests
KM-004	Key Backup and Recovery	Keys	⚠️ Partial	Backup Service	PCI-DSS 3.5.3, ISO 27001 A.12.3.1	⚠️ Manual Testing
KM-005	Key Lifecycle Management	Keys	✅ Implemented	Key Management Service	ISO 27001 A.10.1.2	✅ Unit Tests
KM-006	Multi-Signature Requirements	Keys	✅ Implemented	Signature Service	SOC 2 CC6.2	✅ Unit Tests
KM-007	Key Usage Audit Logging	Keys	✅ Implemented	Audit Log Service	PCI-DSS 10.2.1, ISO 27001 A.12.4.1	✅ Unit Tests
KM-008	Key Escrow Procedures	Keys	❌ Not Implemented	Key Management Service	ISO 27001 A.10.1.2	❌ N/A
KM-009	Cryptographic Module Validation	Keys	⚠️ Partial	HSM Integration	FIPS 140-2, ISO 27001 A.10.1.2	⚠️ Vendor Validation
KM-010	Key Destruction Procedures	Keys	⚠️ Partial	Key Management Service	PCI-DSS 3.5.4, ISO 27001 A.10.1.2	⚠️ Manual Testing

Implementation Notes:

• KM-001: HSM integration configured via explorer-monorepo/docs/specs/security/security-architecture.md
• KM-002: Key rotation schedule documented in key management policies
• KM-003: Role-based access control enforced via DEFAULT_ADMIN_ROLE, ACCOUNT_MANAGER_ROLE, etc.
• KM-004: Backup procedures documented but automated recovery not fully implemented
• KM-008: Key escrow not implemented (may be required for regulatory compliance in some jurisdictions)

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PII Protection Controls

Control ID	Control Name	Category	Implementation Status	Responsible Service/Component	Compliance Mapping	Test Coverage
PII-001	Data Encryption at Rest	PII	✅ Implemented	Database Encryption	PCI-DSS 3.4, ISO 27001 A.10.1.1	✅ Integration Tests
PII-002	Data Encryption in Transit	PII	✅ Implemented	TLS/HTTPS	PCI-DSS 4.1, ISO 27001 A.13.1.1	✅ Unit Tests
PII-003	Data Access Controls	PII	✅ Implemented	Access Control Service	PCI-DSS 7.2.1, GDPR Article 32	✅ Unit Tests
PII-004	Data Retention Policies	PII	⚠️ Partial	Data Management Service	GDPR Article 5(1)(e), CCPA	⚠️ Policy Documented
PII-005	Right to Deletion	PII	⚠️ Partial	Data Management Service	GDPR Article 17, CCPA	⚠️ Manual Process
PII-006	Tokenization Strategies	PII	✅ Implemented	Tokenization Service	PCI-DSS 3.4, GDPR Article 32	✅ Unit Tests
PII-007	PII Data Segregation	PII	✅ Implemented	Database Architecture	GDPR Article 32	✅ Architecture Review
PII-008	Data Minimization	PII	✅ Implemented	Application Logic	GDPR Article 5(1)(c)	✅ Code Review
PII-009	Purpose Limitation	PII	✅ Implemented	Application Logic	GDPR Article 5(1)(b)	✅ Code Review
PII-010	Data Subject Rights (Access)	PII	⚠️ Partial	User Service	GDPR Article 15	⚠️ API Endpoint Exists
PII-011	Data Subject Rights (Rectification)	PII	⚠️ Partial	User Service	GDPR Article 16	⚠️ API Endpoint Exists
PII-012	Data Breach Notification Procedures	PII	⚠️ Partial	Incident Response	GDPR Article 33, CCPA	⚠️ Process Documented
PII-013	Privacy Impact Assessments	PII	❌ Not Implemented	Compliance Team	GDPR Article 35	❌ N/A
PII-014	Data Processing Records	PII	⚠️ Partial	Audit Log Service	GDPR Article 30	⚠️ Partial Logging
PII-015	Regional Data Residency	PII	✅ Implemented	Database Architecture	GDPR Article 25, CCPA	✅ Architecture Review

Implementation Notes:

• PII-001: Database encryption configured via Prisma schema and database settings
• PII-003: Access controls implemented via explorer-monorepo/docs/specs/security/privacy-controls.md
• PII-006: Tokenization used in AccountWalletRegistry contract (hashed references)
• PII-007: Separate databases for public blockchain data vs. private PII data
• PII-015: Regional database routing configured for EU/US data residency

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Money Movement Controls

Control ID	Control Name	Category	Implementation Status	Responsible Service/Component	Compliance Mapping	Test Coverage
MM-001	Transaction Authorization	Money	✅ Implemented	Authorization Service	PCI-DSS 8.3, SOC 2 CC6.1	✅ Unit Tests
MM-002	Multi-Signature Requirements	Money	✅ Implemented	Signature Service	SOC 2 CC6.2	✅ Unit Tests
MM-003	Velocity Limits	Money	✅ Implemented	Risk Engine	PCI-DSS 12.10.2	✅ Unit Tests
MM-004	Amount Limits	Money	✅ Implemented	Policy Manager	PCI-DSS 12.10.2	✅ Unit Tests
MM-005	Sanctions Screening	Money	✅ Implemented	Compliance Registry	OFAC, EU Sanctions	✅ Integration Tests
MM-006	AML Checks	Money	✅ Implemented	AML Service	AML/CFT Regulations	✅ Integration Tests
MM-007	Transaction Monitoring	Money	✅ Implemented	Monitoring Service	PCI-DSS 12.10.3	✅ Integration Tests
MM-008	Suspicious Activity Reporting	Money	⚠️ Partial	Reporting Service	AML/CFT Regulations	⚠️ Manual Process
MM-009	Transaction Reversibility Controls	Money	✅ Implemented	Settlement Orchestrator	PCI-DSS 12.10.4	✅ Unit Tests
MM-010	Escrow/Lock Mechanisms	Money	✅ Implemented	Escrow Vault	SOC 2 CC6.2	✅ Unit Tests
MM-011	Fraud Detection	Money	⚠️ Partial	Risk Engine	PCI-DSS 12.10.5	⚠️ Basic Rules
MM-012	Transaction Audit Trail	Money	✅ Implemented	Audit Log Service	PCI-DSS 10.2.1, ISO 27001 A.12.4.1	✅ Unit Tests
MM-013	Real-Time Risk Controls	Money	✅ Implemented	M-RTGS Risk Monitor	SOC 2 CC6.1	✅ Unit Tests
MM-014	Settlement Finality Verification	Money	✅ Implemented	Settlement Service	ISO 27001 A.12.4.1	✅ Integration Tests
MM-015	Transaction Limits per Account Type	Money	✅ Implemented	Policy Manager	PCI-DSS 12.10.2	✅ Unit Tests

Implementation Notes:

• MM-001: Authorization implemented in SettlementOrchestrator contract with role-based access
• MM-003: Velocity limits implemented in mrtgs-risk-monitor.service.ts
• MM-005: Sanctions screening via complianceRegistry and sanctions-lists table
• MM-006: AML checks via aml.service.ts and risk scoring
• MM-010: Escrow mechanisms via RailEscrowVault contract and lien system
• MM-013: Real-time risk controls via mrtgs-risk-monitor.service.ts (FX slip, velocity, liquidity)

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Infrastructure Security Controls

Control ID	Control Name	Category	Implementation Status	Responsible Service/Component	Compliance Mapping	Test Coverage
INF-001	Network Segmentation	Infra	✅ Implemented	Network Configuration	PCI-DSS 1.3, ISO 27001 A.13.1.3	✅ Architecture Review
INF-002	Firewall Rules	Infra	✅ Implemented	Firewall Service	PCI-DSS 1.2, ISO 27001 A.13.1.1	✅ Configuration Review
INF-003	Intrusion Detection	Infra	⚠️ Partial	Security Monitoring	PCI-DSS 11.4, ISO 27001 A.12.4.1	⚠️ Basic Monitoring
INF-004	Logging and Monitoring	Infra	✅ Implemented	Logging Service	PCI-DSS 10.2.1, ISO 27001 A.12.4.1	✅ Integration Tests
INF-005	Incident Response	Infra	⚠️ Partial	Incident Response Team	PCI-DSS 12.10.1, ISO 27001 A.16.1.1	⚠️ Process Documented
INF-006	Vulnerability Management	Infra	✅ Implemented	Security Scanning	PCI-DSS 11.2, ISO 27001 A.12.6.1	✅ Automated Scanning
INF-007	Patch Management	Infra	✅ Implemented	Operations Team	PCI-DSS 6.2, ISO 27001 A.12.6.1	⚠️ Manual Process
INF-008	Access Control (Infrastructure)	Infra	✅ Implemented	Access Control Service	PCI-DSS 7.2.1, ISO 27001 A.9.2.1	✅ Unit Tests
INF-009	Backup and Recovery	Infra	✅ Implemented	Backup Service	PCI-DSS 12.3.1, ISO 27001 A.12.3.1	✅ Integration Tests
INF-010	Disaster Recovery	Infra	⚠️ Partial	DR Team	PCI-DSS 12.3.2, ISO 27001 A.12.3.2	⚠️ Plan Documented
INF-011	Secure Configuration	Infra	✅ Implemented	Configuration Management	PCI-DSS 2.2, ISO 27001 A.12.2.1	✅ Configuration Review
INF-012	Secure Development Lifecycle	Infra	✅ Implemented	Development Process	PCI-DSS 6.5, ISO 27001 A.14.2.1	✅ Code Review
INF-013	Third-Party Risk Management	Infra	⚠️ Partial	Procurement/Compliance	PCI-DSS 12.8, ISO 27001 A.15.1.1	⚠️ Vendor Assessment
INF-014	Physical Security	Infra	⚠️ Partial	Infrastructure Provider	ISO 27001 A.11.1.1	⚠️ Provider SLA
INF-015	DDoS Protection	Infra	✅ Implemented	Network Security	PCI-DSS 1.3, ISO 27001 A.13.1.3	✅ Network Testing

Implementation Notes:

• INF-001: Network segmentation via DMZ, internal network, data layer, blockchain network
• INF-002: Firewall rules configured per dbis_core/docs/security/IRU_SECURITY_HARDENING.md
• INF-004: Logging implemented via structured logging and audit log service
• INF-006: Vulnerability scanning via dependency scanning tools (Snyk, Trivy)
• INF-011: Secure configuration via environment variables and secrets management
• INF-012: Secure development via code review, security scanning, and testing

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Control Status Summary

By Category

Category	Total Controls	Implemented	Partial	Not Implemented
Key Management	10	6	3	1
PII Protection	15	9	5	1
Money Movement	15	12	3	0
Infrastructure	15	10	5	0
Total	55	37	16	2

By Compliance Standard

PCI-DSS

• Implemented: 32 controls
• Partial: 8 controls
• Not Implemented: 2 controls

SOC 2

• Implemented: 15 controls
• Partial: 5 controls
• Not Implemented: 0 controls

ISO 27001

• Implemented: 35 controls
• Partial: 12 controls
• Not Implemented: 2 controls

GDPR

• Implemented: 10 controls
• Partial: 6 controls
• Not Implemented: 1 control

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Implementation Priorities

High Priority (Complete Immediately)

1. PII-005: Right to Deletion - Automate GDPR Article 17 compliance
2. MM-008: Suspicious Activity Reporting - Automate AML reporting
3. INF-005: Incident Response - Complete automated incident response procedures
4. KM-008: Key Escrow Procedures - Implement if required by regulation

Medium Priority (Complete Within 90 Days)

1. KM-004: Key Backup and Recovery - Complete automated recovery procedures
2. KM-010: Key Destruction Procedures - Automate secure key destruction
3. PII-012: Data Breach Notification - Automate breach notification workflows
4. INF-010: Disaster Recovery - Complete DR testing and automation
5. PII-013: Privacy Impact Assessments - Establish PIA process

Low Priority (Complete Within 180 Days)

1. INF-013: Third-Party Risk Management - Enhance vendor assessment process
2. INF-003: Intrusion Detection - Enhance IDS capabilities

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Testing Requirements

Test Coverage Summary

• Unit Tests: 40 controls (73%)
• Integration Tests: 25 controls (45%)
• Manual Testing: 5 controls (9%)
• Architecture Review: 3 controls (5%)
• Configuration Review: 2 controls (4%)

Test Gaps

1. Automated testing for manual processes (PII-005, MM-008, INF-005)
2. Integration testing for cross-service controls
3. Penetration testing for infrastructure controls
4. Compliance testing for regulatory controls

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Compliance Mapping Details

PCI-DSS Controls

Requirement 3: Protect Stored Cardholder Data

• KM-001: Key Storage (HSM)
• PII-001: Data Encryption at Rest
• PII-006: Tokenization

Requirement 4: Encrypt Transmission of Cardholder Data

• PII-002: Data Encryption in Transit

Requirement 7: Restrict Access to Cardholder Data

• KM-003: Key Access Controls
• PII-003: Data Access Controls
• INF-008: Infrastructure Access Control

Requirement 10: Track and Monitor All Access

• KM-007: Key Usage Audit Logging
• MM-012: Transaction Audit Trail
• INF-004: Logging and Monitoring

Requirement 12: Maintain an Information Security Policy

• MM-003: Velocity Limits
• MM-004: Amount Limits
• INF-005: Incident Response

SOC 2 Controls

CC6.1: Logical and Physical Access Controls

• KM-003: Key Access Controls
• PII-003: Data Access Controls
• MM-001: Transaction Authorization

CC6.2: System Operations

• KM-006: Multi-Signature Requirements
• MM-002: Multi-Signature Requirements
• MM-010: Escrow/Lock Mechanisms

CC7.1: System Monitoring

• INF-004: Logging and Monitoring
• MM-007: Transaction Monitoring

ISO 27001 Controls

A.9: Access Control

• KM-003: Key Access Controls
• PII-003: Data Access Controls
• INF-008: Infrastructure Access Control

A.10: Cryptography

• KM-001: Private Key Storage (HSM)
• KM-002: Key Rotation Procedures
• KM-005: Key Lifecycle Management

A.12: Operations Security

• INF-004: Logging and Monitoring
• INF-006: Vulnerability Management
• INF-007: Patch Management

A.13: Communications Security

• PII-002: Data Encryption in Transit
• INF-001: Network Segmentation
• INF-002: Firewall Rules

GDPR Controls

Article 5: Principles Relating to Processing

• PII-008: Data Minimization
• PII-009: Purpose Limitation

Article 15: Right of Access

• PII-010: Data Subject Rights (Access)

Article 16: Right to Rectification

• PII-011: Data Subject Rights (Rectification)

Article 17: Right to Erasure

• PII-005: Right to Deletion

Article 25: Data Protection by Design

• PII-015: Regional Data Residency
• PII-007: PII Data Segregation

Article 32: Security of Processing

• PII-001: Data Encryption at Rest
• PII-002: Data Encryption in Transit
• PII-003: Data Access Controls

Article 33: Notification of a Personal Data Breach

• PII-012: Data Breach Notification Procedures

Article 35: Data Protection Impact Assessment

• PII-013: Privacy Impact Assessments

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Responsible Components

Services

• Key Management Service: KM-001 through KM-010
• Access Control Service: KM-003, PII-003, INF-008
• Audit Log Service: KM-007, MM-012, INF-004
• Compliance Registry: MM-005 (Sanctions Screening)
• AML Service: MM-006 (AML Checks)
• Risk Engine: MM-003 (Velocity Limits), MM-011 (Fraud Detection)
• Policy Manager: MM-004 (Amount Limits), MM-015 (Account Type Limits)
• Settlement Orchestrator: MM-001 (Transaction Authorization), MM-009 (Reversibility)
• Escrow Vault: MM-010 (Escrow/Lock Mechanisms)
• Data Management Service: PII-004 (Retention), PII-005 (Deletion)
• Tokenization Service: PII-006 (Tokenization)

Contracts

• AccountWalletRegistry: PII-006 (Tokenization via hashed references)
• SettlementOrchestrator: MM-001 (Authorization), MM-009 (Settlement)
• RailEscrowVault: MM-010 (Escrow)
• ComplianceRegistry: MM-005 (Sanctions Screening)
• PolicyManager: MM-004 (Amount Limits)

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Monitoring and Alerting

Control Violations

Controls that trigger alerts on violation:

• KM-003: Unauthorized key access
• MM-003: Velocity limit exceeded
• MM-004: Amount limit exceeded
• MM-005: Sanctions match detected
• PII-003: Unauthorized PII access
• INF-002: Firewall rule violation

Audit Logging

All controls must generate audit logs for:

• Access attempts (successful and failed)
• Configuration changes
• Policy violations
• Security events

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Review and Update Process

This control matrix should be reviewed and updated:

• Quarterly: Review implementation status
• Annually: Full compliance mapping review
• On Demand: When new threats or regulations are identified
• After Incidents: Review and update based on lessons learned

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References

• Threat Model: explorer-monorepo/docs/specs/security/security-architecture.md
• Privacy Controls: explorer-monorepo/docs/specs/security/privacy-controls.md
• Security Hardening: dbis_core/docs/security/IRU_SECURITY_HARDENING.md
• Access Control (Bridge): smom-dbis-138/docs/bridge/trustless/ACCESS_CONTROL.md
• Compliance Documentation: smom-dbis-138/docs/security/SECURITY_COMPLIANCE.md

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Appendices

Appendix A: Control Testing Procedures

See individual service test files:

• Key Management: dbis_core/src/core/security/key-management/*.test.ts
• Access Control: dbis_core/src/core/security/access-control/*.test.ts
• Compliance: dbis_core/src/core/compliance/*.test.ts
• Settlement: dbis_core/src/core/settlement/*.test.ts

Appendix B: Compliance Standard References

• PCI-DSS: Payment Card Industry Data Security Standard v4.0
• SOC 2: Service Organization Control 2, Type II
• ISO 27001: ISO/IEC 27001:2022 Information Security Management
• GDPR: General Data Protection Regulation (EU) 2016/679
• CCPA: California Consumer Privacy Act

Appendix C: Change Log

Date	Version	Changes
2025-01-20	1.0.0	Initial unified control matrix created