Security and Compliance

This document outlines the security architecture, controls, and compliance frameworks for the LLM Gateway service.

Table of Contents

• Security Architecture
• Identity and Access Management
• Data Protection
• Network Security
• Infrastructure Security
• Application Security
• Compliance Framework
• Auditing and Logging
• Security Operations

Security Architecture

The LLM Gateway follows a defense-in-depth approach with security controls at multiple layers.

Security Architecture Overview

graph TD
    subgraph "External Layer"
        WAF[WAF & DDoS Protection]
        DNS[DNS Security]
    end
    
    subgraph "Network Layer"
        VPC[VPC & Subnets]
        NACL[Network ACLs]
        SG[Security Groups]
    end
    
    subgraph "Identity Layer"
        IAM[IAM Roles & Policies]
        SSO[Single Sign-On]
        RBAC[K8s RBAC]
    end
    
    subgraph "Application Layer"
        Auth[Authentication & Authorization]
        Validation[Input Validation]
        Secrets[Secrets Management]
    end
    
    subgraph "Data Layer"
        Encryption[Data Encryption]
        Masking[Data Masking]
        PII[PII Protection]
    end
    
    subgraph "Operational Layer"
        Logging[Security Logging]
        Monitoring[Security Monitoring]
        Scanning[Vulnerability Scanning]
    end
    
    External[External Users] --> WAF
    WAF --> VPC
    VPC --> IAM
    IAM --> Auth
    Auth --> Encryption
    
    VPC --> NACL --> SG
    IAM --> SSO --> RBAC
    Auth --> Validation --> Secrets
    Encryption --> Masking --> PII
    
    Logging --> Monitoring --> Scanning

Security Principles

The LLM Gateway security architecture is guided by the following principles:

1. Zero Trust Architecture: No implicit trust based on network location
2. Least Privilege: Minimal access rights for entities
3. Defense in Depth: Multiple security controls at different layers
4. Secure by Default: Security built in from the beginning
5. Security as Code: Security controls defined and deployed as code
6. Continuous Verification: Regular testing and validation of controls

Identity and Access Management

The LLM Gateway implements comprehensive identity and access management controls.

IAM Architecture

graph TD
    subgraph "Identity Sources"
        AD[Active Directory]
        OIDC[OIDC Provider]
        SAML[SAML Provider]
    end
    
    subgraph "Authentication"
        SSO[AWS SSO]
        Cognito[AWS Cognito]
        IAMDB[IAM Identity Center]
    end
    
    subgraph "Authorization"
        Roles[IAM Roles]
        Groups[IAM Groups]
        Policies[IAM Policies]
        KRBAC[Kubernetes RBAC]
    end
    
    subgraph "Service Access"
        Service[Service Accounts]
        IRSA[IAM Roles for Service Accounts]
        ResourcePolicies[Resource Policies]
    end
    
    AD --> SSO
    OIDC --> Cognito
    SAML --> IAMDB
    
    SSO --> Roles
    Cognito --> Groups
    IAMDB --> Policies
    
    Roles --> KRBAC
    Groups --> Service
    Policies --> IRSA
    KRBAC --> ResourcePolicies

Access Control Model

The LLM Gateway implements a role-based access control (RBAC) model with the following components:

User Roles

Role	Description	Permissions
Administrator	System administration	Full access to all resources
Operator	Day-to-day operations	Read/write access to operational resources
Developer	Development and testing	Read/write access to dev resources
Auditor	Compliance auditing	Read-only access to all resources
User	End-user of the service	Access to specific API endpoints

Service Roles

Role	Purpose	Access Scope
API Service	Handle API requests	API Gateway, Lambda
Execution Service	Execute LLM requests	LLM provider connections, cache
Monitoring Service	Collect metrics	CloudWatch, custom metrics
Backup Service	Perform backups	S3, RDS, EBS

Authentication Methods

The LLM Gateway supports multiple authentication methods:

1. API Access:

   • API Keys with mandatory rotation
   • JWT tokens for short-lived access
   • OAuth2 client credentials flow

2. Management Access:

   • SAML-based SSO for console access
   • MFA enforced for all human users
   • Temporary credentials for CLI access

3. Service-to-Service:

   • IAM roles for internal AWS services
   • Service accounts for Kubernetes resources
   • mTLS for critical service communication

Data Protection

The LLM Gateway implements comprehensive data protection measures for data at rest and in transit.

Data Classification

Data is classified according to sensitivity:

Classification	Examples	Protection Requirements
Public	Model capabilities, documentation	No special protection required
Internal	System metrics, non-sensitive logs	Encryption in transit
Confidential	Customer prompt templates, usage analytics	Encryption in transit and at rest
Restricted	API keys, credentials, PII in prompts	Encryption, access controls, audit logging

Encryption Architecture

graph TD
    subgraph "Key Management"
        KMS[AWS KMS]
        CMK[Customer Managed Keys]
        KeyPolicies[Key Policies]
    end
    
    subgraph "Data at Rest"
        S3[S3 Encryption]
        RDS[RDS Encryption]
        EBS[EBS Encryption]
        Secrets[Secrets Manager]
    end
    
    subgraph "Data in Transit"
        TLS[TLS 1.3]
        HTTPS[HTTPS Endpoints]
        VPCEndpoints[VPC Endpoints]
    end
    
    KMS --> CMK --> KeyPolicies
    CMK --> S3
    CMK --> RDS
    CMK --> EBS
    CMK --> Secrets
    
    TLS --> HTTPS
    TLS --> VPCEndpoints

Encryption Implementation

1. Data at Rest:

   • RDS with AWS KMS encryption (AES-256)
   • S3 with server-side encryption
   • EBS volumes encrypted by default
   • ElastiCache with encryption enabled
   • Secrets Manager with KMS encryption

2. Data in Transit:

   • TLS 1.3 for all API endpoints
   • TLS for all internal service communication
   • mTLS for critical service interfaces
   • VPC endpoints for AWS service access

Data Handling Controls

1. PII Handling:

   • PII detection in prompt content
   • Automated redaction capabilities
   • Strict access controls for PII data
   • Retention limits for sensitive data

2. Data Minimization:

   • Collection limited to necessary data
   • Automated data purging workflows
   • Anonymization for analytics data
   • Temporary storage for transient data

Network Security

The LLM Gateway implements multiple layers of network security controls.

Network Architecture

graph TD
    Internet((Internet)) --> Route53[Route 53]
    Route53 --> WAF[AWS WAF]
    WAF --> ALB[Application Load Balancer]
    
    subgraph "VPC"
        subgraph "Public Subnets"
            ALB
            NAT[NAT Gateway]
        end
        
        subgraph "Application Subnets"
            EKS[EKS Cluster]
            ALB --> EKS
        end
        
        subgraph "Database Subnets"
            RDS[(RDS Database)]
            ElastiCache[(ElastiCache)]
            EKS --> RDS
            EKS --> ElastiCache
        end
        
        EKS --> NAT
        NAT --> Internet
        
        VPCEndpoint[VPC Endpoints]
        EKS --> VPCEndpoint
    end
    
    subgraph "AWS Services"
        S3[(S3)]
        SM[(Secrets Manager)]
        ECR[(ECR)]
        CW[(CloudWatch)]
    end
    
    VPCEndpoint --> S3
    VPCEndpoint --> SM
    VPCEndpoint --> ECR
    VPCEndpoint --> CW

Network Security Controls

1. VPC Configuration:

   • Isolated VPC with private subnets
   • Public subnets only for load balancers
   • No direct internet access from application layer
   • VPC flow logs enabled for network monitoring

2. Access Controls:

   • Security groups with least-privilege rules
   • Network ACLs as subnet-level firewalls
   • Service security groups for fine-grained control
   • Default deny for all ingress/egress traffic

3. Traffic Protection:

   • WAF for application layer protection
   • Shield Advanced for DDoS protection
   • TLS termination at load balancer
   • Private API Gateway endpoints

4. Service Isolation:

   • Kubernetes network policies
   • Service mesh for inter-service TLS
   • Namespace isolation for service boundaries
   • Micro-segmentation for critical services

Infrastructure Security

The LLM Gateway employs multiple infrastructure security controls.

Infrastructure Hardening

1. Compute Resources:

   • Hardened AMIs for EC2 instances
   • Regular patching through automation
   • Immutable infrastructure approach
   • Host-based intrusion detection

2. Container Security:

   • Image scanning in CI/CD pipeline
   • Minimal base images
   • Non-root container execution
   • Image signing and verification

3. Kubernetes Security:

   • Pod security policies
   • Admission controllers
   • Security context constraints
   • Control plane security

Vulnerability Management

flowchart TD
    subgraph "Vulnerability Sources"
        SAST[Static Analysis]
        DAST[Dynamic Analysis]
        SCA[Dependency Scanning]
        Image[Container Scanning]
        Infra[Infrastructure Scanning]
    end
    
    subgraph "Vulnerability Management"
        Triage[Vulnerability Triage]
        Prioritize[Risk Prioritization]
        Remediate[Remediation]
        Verify[Verification]
    end
    
    SAST & DAST & SCA & Image & Infra --> Triage
    Triage --> Prioritize
    Prioritize --> Remediate
    Remediate --> Verify
    Verify -->|Continuous| SAST

1. Scanning Schedule:

Asset Type	Tool	Frequency	Integration Point
Source Code	SonarQube, Snyk	On commit	CI/CD pipeline
Dependencies	Dependabot, Snyk	Daily	Repository
Container Images	Trivy, ECR scanning	On build	CI/CD pipeline
Infrastructure	Prowler, ScoutSuite	Weekly	Scheduled scan
Runtime	Falco	Continuous	Kubernetes

2. Remediation SLAs:

Severity	Timeframe	Approval Process
Critical	24 hours	Emergency change
High	7 days	Expedited review
Medium	30 days	Standard review
Low	90 days	Batch process

Application Security

The LLM Gateway includes multiple application security controls.

Secure Development Practices

1. Secure SDLC:

   • Security requirements definition
   • Threat modeling for new features
   • Security code reviews
   • Secure coding guidelines

2. Security Testing:

   • Unit tests for security controls
   • Integration testing for security features
   • Penetration testing (quarterly)
   • Fuzz testing for API endpoints

API Security

1. Input Validation:

   • Schema validation for all inputs
   • Strict type checking
   • Input sanitization
   • Maximum size limits

2. Output Encoding:

   • Content security policy implementation
   • Safe output encoding
   • Response validation
   • Error message scrubbing

3. Rate Limiting:

   • Per-endpoint rate limits
   • Per-user quotas
   • Graduated response to abusive traffic
   • Automated abuse detection

Prompt Security

1. Prompt Injection Protection:

   • Prompt boundary enforcement
   • Context isolation
   • Input sanitization
   • Dangerous pattern detection

2. LLM Output Safety:

   • Content filtering
   • Toxicity detection
   • PII detection in responses
   • Output validation

Compliance Framework

The LLM Gateway is designed to meet various compliance requirements.

Compliance Certifications

The service is compliant with or designed to support:

Framework	Status	Scope	Last Assessment
SOC 2 Type II	Certified	Security, Availability, Confidentiality	Q2 2023
ISO 27001	Certified	Information Security Management	Q2 2023
GDPR	Compliant	Data Protection	Q1 2023
HIPAA	BAA Available	For healthcare customers	Q3 2023
FedRAMP Moderate	In Progress	For government customers	Expected Q4 2023

Compliance Controls Mapping

graph TD
    subgraph "Control Frameworks"
        SOC2[SOC 2]
        ISO[ISO 27001]
        GDPR[GDPR]
        HIPAA[HIPAA]
        FedRAMP[FedRAMP]
    end
    
    subgraph "Control Categories"
        IAM[Identity & Access]
        Config[Secure Configuration]
        DataProt[Data Protection]
        Incident[Incident Response]
        BCP[Business Continuity]
        SecOps[Security Operations]
    end
    
    SOC2 --> IAM & Config & DataProt & Incident & BCP & SecOps
    ISO --> IAM & Config & DataProt & Incident & BCP & SecOps
    GDPR --> IAM & DataProt & Incident
    HIPAA --> IAM & DataProt & Incident & BCP
    FedRAMP --> IAM & Config & DataProt & Incident & BCP & SecOps
    
    IAM --> IAMControls[IAM Controls Implementation]
    Config --> ConfigControls[Configuration Controls]
    DataProt --> DataControls[Data Protection Controls]
    Incident --> IncidentControls[Incident Response Controls]
    BCP --> BCPControls[BCP Controls]
    SecOps --> SecOpsControls[SecOps Controls]

Compliance Documentation

The following compliance documentation is maintained:

1. System Security Plan (SSP):

   • Comprehensive system description
   • Control implementation details
   • Risk assessment results
   • Continuous monitoring approach

2. Policies and Procedures:

   • Information security policy
   • Access control policy
   • Data protection policy
   • Incident response procedures
   • Change management procedures
   • Backup and recovery procedures

3. Compliance Evidence:

   • Control testing results
   • Vulnerability scanning reports
   • Penetration testing reports
   • Audit logs and reviews
   • Access reviews
   • Training records

Auditing and Logging

The LLM Gateway implements comprehensive audit logging for security and compliance purposes.

Logging Architecture

graph TD
    subgraph "Log Sources"
        App[Application Logs]
        Infra[Infrastructure Logs]
        Network[Network Logs]
        DB[Database Logs]
        Security[Security Logs]
    end
    
    subgraph "Collection & Processing"
        Fluent[FluentBit]
        Stream[Kinesis Data Streams]
        Firehose[Kinesis Firehose]
        Lambda[Lambda Enrichment]
    end
    
    subgraph "Storage & Analysis"
        S3[S3 Bucket]
        ES[Elasticsearch]
        CW[CloudWatch Logs]
        Athena[Athena]
    end
    
    subgraph "Monitoring & Alerting"
        Rules[Alert Rules]
        SIEM[Security Information & Event Management]
        Dashboard[Security Dashboards]
    end
    
    App & Infra & Network & DB & Security --> Fluent
    Fluent --> Stream
    Stream --> Firehose
    Stream --> Lambda
    Firehose --> S3
    Lambda --> ES
    Lambda --> CW
    
    S3 --> Athena
    ES & CW & Athena --> Rules
    ES & CW & Athena --> SIEM
    ES & CW & Athena --> Dashboard

Logged Events

The following security events are logged:

1. Authentication Events:

   • Authentication attempts (successful and failed)
   • Token issuance and validation
   • Session management
   • Privilege changes

2. Authorization Events:

   • Authorization decisions
   • Permission changes
   • Access denials
   • Privilege escalation

3. Data Access Events:

   • Sensitive data access
   • Data modifications
   • Bulk data exports
   • Unusual data access patterns

4. Administrative Events:

   • Configuration changes
   • Security control modifications
   • User and role management
   • Policy changes

5. System Events:

   • Service starts and stops
   • System failures
   • Resource exhaustion
   • Security boundary violations

Log Management

Logs are managed according to the following policies:

1. Retention:

   • Security logs: 1 year
   • Compliance-related logs: 7 years
   • Operational logs: 90 days
   • Debug logs: 7 days

2. Protection:

   • Immutable storage in S3
   • Encryption at rest
   • Access controls on log data
   • Integrity verification

3. Monitoring:

   • Real-time alerting for critical events
   • Automated log analysis
   • Anomaly detection
   • Correlation across log sources

Security Operations

The LLM Gateway is supported by a Security Operations Center (SOC) that provides continuous monitoring and incident response.

Security Monitoring

The following security monitoring is performed:

1. Continuous Monitoring:

   • Real-time log analysis
   • Network traffic analysis
   • Behavior anomaly detection
   • Threat intelligence integration

2. Scheduled Assessments:

   • Vulnerability scanning
   • Configuration compliance checks
   • Security control effectiveness testing
   • Access reviews

Incident Response

flowchart LR
    subgraph "Detection Phase"
        Monitor[Security Monitoring]
        Auto[Automated Detection]
        Manual[Manual Report]
    end
    
    subgraph "Response Phase"
        Triage[Incident Triage]
        Contain[Containment]
        Eradicate[Eradication]
        Recover[Recovery]
    end
    
    subgraph "Post-Incident Phase"
        Analysis[Root Cause Analysis]
        Lessons[Lessons Learned]
        Improvement[Control Improvement]
    end
    
    Monitor & Auto & Manual --> Triage
    Triage --> Contain --> Eradicate --> Recover
    Recover --> Analysis --> Lessons --> Improvement
    Improvement -.-> Monitor

1. Incident Response Process:

Phase	Activities	Timeframe	Documentation
Preparation	Playbooks, training, tools	Ongoing	IR plan, runbooks
Detection	Monitoring, alerts, reports	Real-time	Alert records
Analysis	Triage, impact assessment	30 minutes	Incident ticket
Containment	Isolation, traffic blocking	1-2 hours	Action log
Eradication	Malware removal, fixing vulnerabilities	4-24 hours	Remediation log
Recovery	Service restoration, verification	2-8 hours	Recovery report
Lessons Learned	Root cause analysis, improvements	7 days	Post-mortem report

2. Incident Severity Levels:

Severity	Description	Response Time	Notification	Example
Critical	Service-wide security breach	Immediate	All stakeholders	Data breach, system compromise
High	Limited security breach	< 1 hour	Security, engineering, leadership	Unauthorized access, targeted attack
Medium	Security policy violation	< 4 hours	Security, engineering	Misconfiguration, policy violation
Low	Potential security issue	< 24 hours	Security team	Suspicious activity, minor vulnerability

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