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1 VMware sapproachtocompliance UpdatedJuly2015 V2.1

2 VMware sapproachtocompliance TableofContents 1. INTRODUCTION SECURITY,COMPLIANCE,ANDGUIDELINES AVIEWOFVMWARE SCOMPLIANCESOLUTIONS MAPPINGVMWARE,PARTNERSOLUTIONS,ANDENDUSERSOLUTIONSTOMEETCONTROLS.8 5. PARTNERSOLUTIONS FILLINGTHEWHITESPACE RELATEDTECHNICALCONTENT CONCLUSION...12 VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

3 VMware sapproachtocompliance 1.Introduction ManyorganizationshaveinitiativestovirtualizetheirInformationTechnology(IT infrastructure,ortomovetoacloudcomputingmodel.however,theseinitiativesareoften complicatedbytheincreasingnumberofregulatorycompliancerequirements,whichrequire protectionofdatasuchas 1 PCI, 2 HIPAA, 3 FISMA, 4 DIACAP, 5 FedRAMP, 6 GLBA,andother StateandFederalrequirements.Organizationsareincreasinglyconcernedwiththe complexity,risk,andimpactthatanewtechnologycanbringtotheirexisting environment(s. Historically,mostorganizationshavehadtograduallygathersolutionsfromavarietyof vendorsandbestpracticesinordertocreateanentireitarchitecturethatcanmeettheir businesscomplianceneeds.whileeachvendormayhavetheirownspecificguidanceon howtomeetcompliance,theyoftendonothaveguidanceonhowtomeetcontrolsthatwere notaddressedbytheirspecificsolutions.thiscanleadtoadelayintheadoptionofcloud andvirtualizationinitiativesasitoftenrequiresasignificantinvestmentintime,resources, andtechnicalcapabilities. VMwareisaddressingthesechallengesbyestablishingaComplianceReference ArchitectureFramework(RAFthatprovidesaconsistentwayforVMware,itspartners,and organizationstoassessandevaluatetheimpactofregulationsonvirtualandcloud environments.theintentoftherafistoprovideasingleframeworkforvmware,its partners,andorganizationstoaddressavarietyofcompliancerequirementsacrossanit infrastructure*.therafiscomprisedoffourprimarycomponents: 1. UseCase_Providesabusinessdescriptionofanorganizationandhowithas designeditsitarchitecturetomeetspecificregulatoryandcompliance requirements. 2. VMwareProductSuites VMware srecommendedproductsuitesdesignedtohelp meetcompliancerequirements 3. VMwarePartnerProducts Providesaframeworkforpartnerstoaddresscontrols thatarenotcoveredbyvmware sproductsuites. 4. OrganizationalRequirements_Provideguidanceonadjacentcontrolrequirements notaddressedbyvmwareorpartnersolutionssuchasphysicalsecurity. ForeachRegulation,VMwareanditsAuditPartnerswillpublishthreedocumentsinorderto elaborateonthesubjectofsourcinganddeployingavcloudarchitecturetooperateina compliantfashionundertheprescribedregulation: VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

4 VMware sapproachtocompliance ProductApplicabilityGuide(PAG::Thisdocumentcontainsanoverviewofeach regulationasitappliestocloud/virtualenvironmentsandthemappingofvmwareand partnerproductstospecificcompliancecontrols.thepagaddressestheissuesofcontrol, applicabilityandauditabilityforthespecificregulation. AdescriptionoftheVMwareproductsuites(onaproductbyproductbasisandrelevant changesfrompreviousversions SpecificPartnercapabilities Industryguidance ArchitectureDesignGuide(ADG::ThegoaloftheArchitectureDesignGuideisto documentdesignconsiderationsforoperatingacompliantenvironmentrunninghighly regulatedworkloadsonavmwarevcloud infrastructure. AnalysisofVMwareTechnologyandpartnerproductcapabilitiesforintegrationintothe VMwareComplianceReferenceArchitecture. Businessprocess,enterprisearchitecturebalancedwithauditconsiderations. Arecommendedapproachfororganizationsandtheirserviceproviderswhoarerequired tocompleteregularcomplianceassessments. ValidatedReferenceArchitecture(VRA::Thegoalofthisdocumentistoillustratehow theapplicableproducts,coupledwiththearchitecturedesignandinfrastructurecomponent configurations,canbeleveragedtoprovideregulationandgovernancespecificcontrol coverage. AnanalysisofaninstanceofavCloudReferenceArchitecturethatisconsideredtobe 'in_situ',e.g.afullyoperationalpoint_in_timeconfigurationofboththevcloudsuiteorend UserComputingsoftwareandtheregulatedapplication. MethodsofevaluatingcontrolsenabledbytheVMwarevCloudSuite,EUCproductsand otherthird_partygraphicalorcommand_lineuserinterfacesthroughthelensofan auditor. Examplesthatdemonstratealignmentwithconceptssuchas Business_as_Usual enhancedpenetrationtestingcapabilities,etc. VMware sgoalistodeliveracompletesolutionthathelpsourcustomersmeetcompliance requirementsastheylooktomigratetheirbusinesscriticalapplicationstocloudcomputing.. 1 PCI PaymentCardIndustry_https:// 2 HIPAA HealthInsurancePortabilityandAccountabilityAct_http:// 3 FISMA FederalInformationSecurityManagementAct_http://csrc.nist.gov/groups/SMA/fisma/faqs.html 4 DIACAP DepartmentofDefenseInformationAssuranceCertificationandAccreditationProcess_http:// 5 FedRAMP FederalRiskandAuthorizationManagementProgram_http:// 6 FGLBA Gramm_Leach_BlileyAct VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

5 VMware sapproachtocompliance 2.Security,Compliance,andGuidelines Thetermssecurityandcomplianceareoftenusedinterchangeably,howevertheyare uniqueanddistinctwords.manyitproductsaredesignedtobesecureandhaveseveral publishedsecurityfeatures.however,thereissubstantiallylessguidanceoncompliance. Whilethereareseveraldifferentdefinitionsofinformationsecurity,itiscommonlydefinedas asetoftechnical,physical,andadministrativecontrolsthatareimplementedinorderto provideconfidentiality,integrity,andavailability.securityisnotanendstate(i.e.youare nevercompletelysecure.rather,organizationsmakeriskbaseddecisionsinorderto managesecuritytoappropriatelevels. Complianceisasetofrequirementsnecessarytomeettheminimumcontrolsestablishedby differentregulatoryagenciesorindustrybestpractices.complianceframeworksareusually broadframeworksthatprovidelimitedguidanceonanyspecifictypeoftechnology,vendor, orconfiguration.however,astechnologycontinuestoadvance,manycomplianceentities haveissuedsupplementalguidancetoaddressemergingtechnologicalrisksandindustry trends. Therehasbeenanincreasingamountofsupplementalguidanceandbestpracticesissued specificallyforcloudcomputingandvirtualizationtechnologies.thesebestpractices provideausefulguidefororganizationsandauditors,assessors,andexaminerswhen reviewingtheappropriatecontrolsandrisksincloudcomputingandvirtualenvironments. Someoftherecentguidanceissuedincludes: SafeguardsTechnicalAssistanceMemorandumProtectingFederal TaxInformation(FTIInVirtualEnvironments PaymentCardIndustryDataSecurityStandardVirtualization Guidelines upp_v2.pdf NISTSP800_144GuidelinesonSecurityandPrivacyinCloud Computing VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

6 VMware sapproachtocompliance CloudSecurityAlliance,SecurityGuidanceforCriticalAreasof FocusinCloudComputing CloudComputingSecurityRiskAssessment VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

7 VMware sapproachtocompliance 3.AViewofVMware scomplianceandcyberrisksolutions VMwarehasavarietyofsolutionsthataredesignedtohelporganizationsmeetsecurityand compliancerequirements.theframeworkbelowprovidesavisualrepresentationof VMware sproductsthataredesignedtoaddressacustomer scompliancerequirements. VMware sproductscanbegroupedintothreedistinctareas:productsthataddressthe virtualizedinfrastructure,applications,andendusercomputing.eachoftheseareas providesastandardsetofusecasesfordifferentregulations. Figure 1: VMware Products VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

8 VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies. VMware sapproachtocompliance 4.MappingVMware,PartnerSolutionsandEndUserSolutions tomeetcontrols Oneofthefirststepsanorganizationoftentakeswhenreviewingcomplianceinitiatives,isto mapthecompliancerequirements(usuallycontrolobjectivestotheirspecificorganizational needs.asmentionedearlier,thiscanbeadifficulttask,requiringasignificantamountof timeandresources.tostreamlinetheprocess,vmwarehasestablishedasingleholistic approachthatcanbeusedtoevaluatethevmwareenvironment,partnersolutions,and EndUsertools. Organization Responsibilities Organization VMwareInfrastructure Customer VMware Solutions AddingPartnerSolutions Customer ThirdParty VMware Products VMwareSolutions Organizationscansignificantlyreducethecomplexityof compliance,whilesimultaneouslyreducingcostsandit manpowerbyreplacingtraditionalnon_integratedsolutions withintegratedsolutions.vmwarehasmappeditsproduct suitestospecificregulatorycontrolsobjectives.however,as withanyproduct,nosingleproductfromanyvendorcanmeet allofanorganization sneeds.thisgap(whitespacebetween VMware ssolutionsandthecustomer sotherobjectivescan beaddressedbyvmwarepartnersolutions. PartnerSolutions ByestablishingaconsistentwayofmappingPartner Solutionstoacomprehensivecontrolsframework,VMware hasestablishedastandardizedrepeatablearchitecturefor VMwarePartnerproducts.ThesePartnerProductsare tailoredtointegratewiththevmwarearchitecture,thereby providingasingleintegratedsolution.bybuildingcloudsand virtualenvironmentsbasedonastandardizedreference architectureframework,theresultisanenvironmentwhichis moresecure,lesscostly,andbetterequippedtomeetthe dynamicnatureoftoday sitandcomplianceworld.italso reducesthetimeandresourcesrequiredtoevaluatethe differentsolutionsandcapabilitiesforanyorganization. EstablishControls Organizationsestablishcontrolobjectivesinordertomeet regulatory,security,andbestpracticeobjectives.these controlsconsistofaseriesoftechnicalguidance, configurationrequirements,policies,procedures,standards, andguidelinesthatmustbesatisfied.thecontrolsarethen mappedtoprocesses,technology,andpeopletomeetthe objectives.

9 VMware sapproachtocompliance 5.PartnerSolutions FillingtheWhitespace Figure 2: Security and Compliance Capability Categories Asisthecaseforanysoftwareorhardwarevendorofferings,therearenoreadymade solutionstomeeteverycompliancerequirement.meetingallcontrolsdependsupona varietyofhardwareandsoftwareproviders.tohelpaddressthesechallenges,vmwarehas identifiedpartnercapabilitycategoriesshowninfigure3.thesecategoriesaredesigned tofillthecompliancegapsnotaddressedbyvmware_onlyproducts(vmwarehasorenables capabilitiesindarkgreenshadedareasinfigure2,ratherthanleavingituptoan organizationtochoosewhichproductsto mixandmatch. AspartofVMware spartner program,vmwarehasestablishedastandardizedprocessforpartnerstomaptheir solutionstovmwareenvironments.selectvmwaretechnologypartnerswillbeselectedto VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

10 VMware sapproachtocompliance completeoneormoreofthecompliancereferencearchitecturedocumentsoutlinedinthe Introductionsectionofthisdocument.Thisaffordsaconsistentanalysisofcapabilities acrossaknownapproachenablingaguidedselectionprocessforevaluatingvmwareand VMwareTechnologyPartnerSolutionsworkingtogethertomeettheregulatorycompliance controlsinanongoingfashion.thesevmwaretechnologypartnersolutionswillbe assembledandevaluatedtogetherthroughthelensofusecasesfocusedonbuildingand operatingacompliantvmwarevcloudenvironment.thesearchitectures,knownas ComplianceJointReferenceArchitectures,willbeexecutedinanongoingbasisandwill includevariousvmwaretechnologypartnersworkingtoportraythecontrolsnecessaryto meetthepertinentregulation(s. 6.RelatedTechnicalContent InadditiontomappingVMwareandPartnersolutionstoregulatoryrequirementusecases asoutlinedinthisdocument,vmwarealsohasmanyvaluableresourcesforimplementing vcloudarchitectures.oneexampleofthiscontentisthevcloudarchitecturetoolkitnowin version3.1asofthewritingofthisdocument.thedocumentationinthecompliance ReferenceArchitecturesaregenerallywrittenwiththevCATDesignConsiderationsand ImplementationExamplesasbaselineswithfocusonhowavCloudArchitectureshouldbe modifiedforbothcompliantpostureandoperations. Figure 3: VMware vcloud Architecture Toolkit VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

11 VMware sapproachtocompliance SolutioncredentialssuchasvCATandtheComplianceReferenceArchitectureFrameworks gobeyondthehypotheticaldeploymentscenariosandprovidespecificimplementationand configurationguidance.theyprovideguidanceforitarchitects,administrators,and Auditorsandtherebyhelporganizationstoproperlydesign,deploy,andoperateamore secure,compliantcloud.approachestomanyfacetsofthevcloudarchitectureoutlined thereinareavailableinnumerouslocationsacrossthewebintheformofblogsandother information.agoodplacetostartonresearchingthisvmwareknowledgebaseison VMware.comunderTechnicalPapers(LinkhastheFilterfor'Security'.Anothergood resourceonsecuringthecorevcloudplatform,acriticalfirststepinanycompliance initiative,thatshouldbefollowedonaperreleasebasisarethehardeningguidelines. VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

12 VMware sapproachtocompliance 7.Conclusion VMwarerecognizesthatsecurityandcompliancearecriticalareasthatmustbeaddressed byallorganizations.bystandardizinganapproachtocomplianceandexpandingthe approachtoincludepartners,vmwareaimstoprovidecustomersaprovensolutionthat morefullyaddressestheircomplianceneeds.thisapproachprovidesmanagement,it architects,administrators,andauditorsahighdegreeoftransparencyintorisks,solutions, andmitigationstrategiesformovingcriticalapplicationstothecloudinasecureand compliantmanner. IfyouareanorganizationorpartnerthatisinterestedinmoreinformationontheVMware ComplianceandCyberRiskSolutionsProgram,please usatcompliance_ Disclaimer: VMwaresolutionsaredesignedtohelporganizationsaddressvariousregulatorycompliance requirements.thisdocumentisintendedtoprovidegeneralguidancefororganizationsthat areconsideringvmwaresolutionstohelpthemaddresssuchrequirements.vmware encouragesanyorganizationthatisconsideringvmwaresolutionstoengageappropriate legal,business,technical,andauditexpertisewithintheirspecificorganizationforreviewof regulatorycompliancerequirements.itistheresponsibilityofeachorganizationtodetermine whatisrequiredtomeetanyandallrequirements.theinformationcontainedinthis documentisforeducationalandinformationalpurposesonly.thisdocumentisnotintended toprovidelegaladviceandisprovided ASIS.VMwaremakesnoclaims,promisesor guaranteesabouttheaccuracy,completeness,oradequacyoftheinformationcontained herein.nothingthatyoureadinthisdocumentshouldbeusedasasubstitutefortheadvice ofcompetentlegalcounsel. Acknowledgements: VMwarewouldliketorecognizetheeffortsoftheVMwareCenterforPolicy&Compliance, VMwarePartnerAlliance,andthenumerousVMwareteamsthatcontributedtothispaper andtotheestablishmentofthevmwarecomplianceandcyberrisksoluitons Program.VMwarewouldalsoliketorecognizetheCoalfireSystemsInc.VMwareTeam QSAfirm,providedPCIguidanceandcontrolinterpretationalignedtoPCIDSSv.2.0and thereferencearchitecturedescribedherein. The%information%provided%by%Coalfire%Systems%and%contained%in%this%document%is%for% educational%and%informational%purposes%only.%coalfire%systems%makes%no%claims,%promises% or%guarantees%about%the%accuracy,%completeness,%or%adequacy%of%the%information%contained% herein. VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

13 VMware sapproachtocompliance AboutCoalfire %CoalfireSystemsisaleading,independentinformationtechnologyGovernance,Riskand Compliance(ITGRCfirmthatprovidesITaudit,riskassessmentandcompliance managementsolutions.foundedin2001,coalfire hasofficesindallas,denver,los Angeles,NewYork,SanFrancisco,SeattleandWashington,D.C.,andcompletes thousandsofprojectsannuallyinretail,financialservices,healthcare,governmentand utilities.coalfire hasdevelopedanewgenerationofcloud_baseditgrctoolsunderthe Navis brandthatclientsusetoefficientlymanageitcontrolsandkeeppacewithrapidly changingregulationsandbestpractices.coalfire ssolutionsareadaptedtorequirements underemergingdataprivacylegislation,thepcidss,glba,ffiec,hipaa/hitech, NERCCIP,Sarbanes_OxleyandFISMA.Formoreinformation,visitwww.coalfire.com. VMware,(Inc.3401HillviewAvenuePaloAltoCA94304USATel877:486:9273Fax650:427:5001www.vmware.com Copyright 2011VMware,Inc.Allrightsreserved.ThisproductisprotectedbyU.S.andinternationalcopyrightandintellectualpropertylaws.VMwareproductsarecoveredbyoneormorepatentslistedathttp:// VMwareisaregisteredtrademarkortrademarkofVMware,Inc.intheUnitedStatesand/orotherjurisdictions.Allothermarksandnamesmentionedhereinmaybetrademarksoftheirrespectivecompanies.

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