/compliance-check

Regulatory Compliance Check

You are a compliance expert specializing in regulatory requirements for software systems including GDPR, HIPAA, SOC2, PCI-DSS, and other industry standards. Perform comprehensive compliance audits and provide implementation guidance for achieving and maintaining compliance.

Context

The user needs to ensure their application meets regulatory requirements and industry standards. Focus on practical implementation of compliance controls, automated monitoring, and audit trail generation.

Requirements

$ARGUMENTS

Instructions

1. Compliance Framework Analysis

Identify applicable regulations and standards:

Regulatory Mapping

class ComplianceAnalyzer:
    def __init__(self):
        self.regulations = {
            'GDPR': {
                'scope': 'EU data protection',
                'applies_if': [
                    'Processing EU residents data',
                    'Offering goods/services to EU',
                    'Monitoring EU residents behavior'
                ],
                'key_requirements': [
                    'Privacy by design',
                    'Data minimization',
                    'Right to erasure',
                    'Data portability',
                    'Consent management',
                    'DPO appointment',
                    'Privacy notices',
                    'Data breach notification (72hrs)'
                ]
            },
            'HIPAA': {
                'scope': 'Healthcare data protection (US)',
                'applies_if': [
                    'Healthcare providers',
                    'Health plan providers',
                    'Healthcare clearinghouses',
                    'Business associates'
                ],
                'key_requirements': [
                    'PHI encryption',
                    'Access controls',
                    'Audit logs',
                    'Business Associate Agreements',
                    'Risk assessments',
                    'Employee training',
                    'Incident response',
                    'Physical safeguards'
                ]
            },
            'SOC2': {
                'scope': 'Service organization controls',
                'applies_if': [
                    'SaaS providers',
                    'Data processors',
                    'Cloud services'
                ],
                'trust_principles': [
                    'Security',
                    'Availability',
                    'Processing integrity',
                    'Confidentiality',
                    'Privacy'
                ]
            },
            'PCI-DSS': {
                'scope': 'Payment card data security',
                'applies_if': [
                    'Accept credit/debit cards',
                    'Process card payments',
                    'Store card data',
                    'Transmit card data'
                ],
                'compliance_levels': {
                    'Level 1': '>6M transactions/year',
                    'Level 2': '1M-6M transactions/year',
                    'Level 3': '20K-1M transactions/year',
                    'Level 4': '<20K transactions/year'
                }
            }
        }

    def determine_applicable_regulations(self, business_info):
        """
        Determine which regulations apply based on business context
        """
        applicable = []

        # Check each regulation
        for reg_name, reg_info in self.regulations.items():
            if self._check_applicability(business_info, reg_info):
                applicable.append({
                    'regulation': reg_name,
                    'reason': self._get_applicability_reason(business_info, reg_info),
                    'priority': self._calculate_priority(business_info, reg_name)
                })

        return sorted(applicable, key=lambda x: x['priority'], reverse=True)

2. Data Privacy Compliance

Implement privacy controls:

GDPR Implementation

class GDPRCompliance:
    def implement_privacy_controls(self):
        """
        Implement GDPR-required privacy controls
        """
        controls = {}

        # 1. Consent Management
        controls['consent_management'] = '''
class ConsentManager:
    def __init__(self):
        self.consent_types = [
            'marketing_emails',
            'analytics_tracking',
            'third_party_sharing',
            'profiling'
        ]

    def record_consent(self, user_id, consent_type, granted):
        """
        Record user consent with full audit trail
        """
        consent_record = {
            'user_id': user_id,
            'consent_type': consent_type,
            'granted': granted,
            'timestamp': datetime.utcnow(),
            'ip_address': request.remote_addr,
            'user_agent': request.headers.get('User-Agent'),
            'version': self.get_current_privacy_policy_version(),
            'method': 'explicit_checkbox'  # Not pre-ticked
        }

        # Store in append-only audit log
        self.consent_audit_log.append(consent_record)

        # Update current consent status
        self.update_user_consents(user_id, consent_type, granted)

        return consent_record

    def verify_consent(self, user_id, consent_type):
        """
        Verify if user has given consent for specific processing
        """
        consent = self.get_user_consent(user_id, consent_type)
        return consent and consent['granted'] and not consent.get('withdrawn')
'''

        # 2. Right to Erasure (Right to be Forgotten)
        controls['right_to_erasure'] = '''
class DataErasureService:
    def process_erasure_request(self, user_id, verification_token):
        """
        Process GDPR Article 17 erasure request
        """
        # Verify request authenticity
        if not self.verify_erasure_token(user_id, verification_token):
            raise ValueError("Invalid erasure request")

        erasure_log = {
            'user_id': user_id,
            'requested_at': datetime.utcnow(),
            'data_categories': []
        }

        # 1. Personal data
        self.erase_user_profile(user_id)
        erasure_log['data_categories'].append('profile')

        # 2. User-generated content (anonymize instead of delete)
        self.anonymize_user_content(user_id)
        erasure_log['data_categories'].append('content_anonymized')

        # 3. Analytics data
        self.remove_from_analytics(user_id)
        erasure_log['data_categories'].append('analytics')

        # 4. Backup data (schedule deletion)
        self.schedule_backup_deletion(user_id)
        erasure_log['data_categories'].append('backups_scheduled')

        # 5. Notify third parties
        self.notify_processors_of_erasure(user_id)

        # Keep minimal record for legal compliance
        self.store_erasure_record(erasure_log)

        return {
            'status': 'completed',
            'erasure_id': erasure_log['id'],
            'categories_erased': erasure_log['data_categories']
        }
'''

        # 3. Data Portability
        controls['data_portability'] = '''
class DataPortabilityService:
    def export_user_data(self, user_id, format='json'):
        """
        GDPR Article 20 - Data portability
        """
        user_data = {
            'export_date': datetime.utcnow().isoformat(),
            'user_id': user_id,
            'format_version': '2.0',
            'data': {}
        }

        # Collect all user data
        user_data['data']['profile'] = self.get_user_profile(user_id)
        user_data['data']['preferences'] = self.get_user_preferences(user_id)
        user_data['data']['content'] = self.get_user_content(user_id)
        user_data['data']['activity'] = self.get_user_activity(user_id)
        user_data['data']['consents'] = self.get_consent_history(user_id)

        # Format based on request
        if format == 'json':
            return json.dumps(user_data, indent=2)
        elif format == 'csv':
            return self.convert_to_csv(user_data)
        elif format == 'xml':
            return self.convert_to_xml(user_data)
'''

        return controls

**Privacy by Design**
```python
# Implement privacy by design principles
class PrivacyByDesign:
    def implement_data_minimization(self):
        """
        Collect only necessary data
        """
        # Before (collecting too much)
        bad_user_model = {
            'email': str,
            'password': str,
            'full_name': str,
            'date_of_birth': date,
            'ssn': str,  # Unnecessary
            'address': str,  # Unnecessary for basic service
            'phone': str,  # Unnecessary
            'gender': str,  # Unnecessary
            'income': int  # Unnecessary
        }

        # After (data minimization)
        good_user_model = {
            'email': str,  # Required for authentication
            'password_hash': str,  # Never store plain text
            'display_name': str,  # Optional, user-provided
            'created_at': datetime,
            'last_login': datetime
        }

        return good_user_model

    def implement_pseudonymization(self):
        """
        Replace identifying fields with pseudonyms
        """
        def pseudonymize_record(record):
            # Generate consistent pseudonym
            user_pseudonym = hashlib.sha256(
                f"{record['user_id']}{SECRET_SALT}".encode()
            ).hexdigest()[:16]

            return {
                'pseudonym': user_pseudonym,
                'data': {
                    # Remove direct identifiers
                    'age_group': self._get_age_group(record['age']),
                    'region': self._get_region(record['ip_address']),
                    'activity': record['activity_data']
                }
            }

3. Security Compliance

Implement security controls for various standards:

SOC2 Security Controls

class SOC2SecurityControls:
    def implement_access_controls(self):
        """
        SOC2 CC6.1 - Logical and physical access controls
        """
        controls = {
            'authentication': '''
# Multi-factor authentication
class MFAEnforcement:
    def enforce_mfa(self, user, resource_sensitivity):
        if resource_sensitivity == 'high':
            return self.require_mfa(user)
        elif resource_sensitivity == 'medium' and user.is_admin:
            return self.require_mfa(user)
        return self.standard_auth(user)

    def require_mfa(self, user):
        factors = []

        # Factor 1: Password (something you know)
        factors.append(self.verify_password(user))

        # Factor 2: TOTP/SMS (something you have)
        if user.mfa_method == 'totp':
            factors.append(self.verify_totp(user))
        elif user.mfa_method == 'sms':
            factors.append(self.verify_sms_code(user))

        # Factor 3: Biometric (something you are) - optional
        if user.biometric_enabled:
            factors.append(self.verify_biometric(user))

        return all(factors)
''',
            'authorization': '''
# Role-based access control
class RBACAuthorization:
    def __init__(self):
        self.roles = {
            'admin': ['read', 'write', 'delete', 'admin'],
            'user': ['read', 'write:own'],
            'viewer': ['read']
        }

    def check_permission(self, user, resource, action):
        user_permissions = self.get_user_permissions(user)

        # Check explicit permissions
        if action in user_permissions:
            return True

        # Check ownership-based permissions
        if f"{action}:own" in user_permissions:
            return self.user_owns_resource(user, resource)

        # Log denied access attempt
        self.log_access_denied(user, resource, action)
        return False
''',
            'encryption': '''
# Encryption at rest and in transit
class EncryptionControls:
    def __init__(self):
        self.kms = KeyManagementService()

    def encrypt_at_rest(self, data, classification):
        if classification == 'sensitive':
            # Use envelope encryption
            dek = self.kms.generate_data_encryption_key()
            encrypted_data = self.encrypt_with_key(data, dek)
            encrypted_dek = self.kms.encrypt_key(dek)

            return {
                'data': encrypted_data,
                'encrypted_key': encrypted_dek,
                'algorithm': 'AES-256-GCM',
                'key_id': self.kms.get_current_key_id()
            }

    def configure_tls(self):
        return {
            'min_version': 'TLS1.2',
            'ciphers': [
                'ECDHE-RSA-AES256-GCM-SHA384',
                'ECDHE-RSA-AES128-GCM-SHA256'
            ],
            'hsts': 'max-age=31536000; includeSubDomains',
            'certificate_pinning': True
        }
'''
        }

        return controls

4. Audit Logging and Monitoring

Implement comprehensive audit trails:

Audit Log System

class ComplianceAuditLogger:
    def __init__(self):
        self.required_events = {
            'authentication': [
                'login_success',
                'login_failure',
                'logout',
                'password_change',
                'mfa_enabled',
                'mfa_disabled'
            ],
            'authorization': [
                'access_granted',
                'access_denied',
                'permission_changed',
                'role_assigned',
                'role_revoked'
            ],
            'data_access': [
                'data_viewed',
                'data_exported',
                'data_modified',
                'data_deleted',
                'bulk_operation'
            ],
            'compliance': [
                'consent_given',
                'consent_withdrawn',
                'data_request',
                'data_erasure',
                'privacy_settings_changed'
            ]
        }

    def log_event(self, event_type, details):
        """
        Create tamper-proof audit log entry
        """
        log_entry = {
            'id': str(uuid.uuid4()),
            'timestamp': datetime.utcnow().isoformat(),
            'event_type': event_type,
            'user_id': details.get('user_id'),
            'ip_address': self._get_ip_address(),
            'user_agent': request.headers.get('User-Agent'),
            'session_id': session.get('id'),
            'details': details,
            'compliance_flags': self._get_compliance_flags(event_type)
        }

        # Add integrity check
        log_entry['checksum'] = self._calculate_checksum(log_entry)

        # Store in immutable log
        self._store_audit_log(log_entry)

        # Real-time alerting for critical events
        if self._is_critical_event(event_type):
            self._send_security_alert(log_entry)

        return log_entry

    def _calculate_checksum(self, entry):
        """
        Create tamper-evident checksum
        """
        # Include previous entry hash for blockchain-like integrity
        previous_hash = self._get_previous_entry_hash()

        content = json.dumps(entry, sort_keys=True)
        return hashlib.sha256(
            f"{previous_hash}{content}{SECRET_KEY}".encode()
        ).hexdigest()

Compliance Reporting

def generate_compliance_report(self, regulation, period):
    """
    Generate compliance report for auditors
    """
    report = {
        'regulation': regulation,
        'period': period,
        'generated_at': datetime.utcnow(),
        'sections': {}
    }

    if regulation == 'GDPR':
        report['sections'] = {
            'data_processing_activities': self._get_processing_activities(period),
            'consent_metrics': self._get_consent_metrics(period),
            'data_requests': {
                'access_requests': self._count_access_requests(period),
                'erasure_requests': self._count_erasure_requests(period),
                'portability_requests': self._count_portability_requests(period),
                'response_times': self._calculate_response_times(period)
            },
            'data_breaches': self._get_breach_reports(period),
            'third_party_processors': self._list_processors(),
            'privacy_impact_assessments': self._get_dpias(period)
        }

    elif regulation == 'HIPAA':
        report['sections'] = {
            'access_controls': self._audit_access_controls(period),
            'phi_access_log': self._get_phi_access_log(period),
            'risk_assessments': self._get_risk_assessments(period),
            'training_records': self._get_training_compliance(period),
            'business_associates': self._list_bas_with_agreements(),
            'incident_response': self._get_incident_reports(period)
        }

    return report

5. Healthcare Compliance (HIPAA)

Implement HIPAA-specific controls:

PHI Protection

class HIPAACompliance:
    def protect_phi(self):
        """
        Implement HIPAA safeguards for Protected Health Information
        """
        # Technical Safeguards
        technical_controls = {
            'access_control': '''
class PHIAccessControl:
    def __init__(self):
        self.minimum_necessary_rule = True

    def grant_phi_access(self, user, patient_id, purpose):
        """
        Implement minimum necessary standard
        """
        # Verify legitimate purpose
        if not self._verify_treatment_relationship(user, patient_id, purpose):
            self._log_denied_access(user, patient_id, purpose)
            raise PermissionError("No treatment relationship")

        # Grant limited access based on role and purpose
        access_scope = self._determine_access_scope(user.role, purpose)

        # Time-limited access
        access_token = {
            'user_id': user.id,
            'patient_id': patient_id,
            'scope': access_scope,
            'purpose': purpose,
            'expires_at': datetime.utcnow() + timedelta(hours=24),
            'audit_id': str(uuid.uuid4())
        }

        # Log all access
        self._log_phi_access(access_token)

        return access_token
''',
            'encryption': '''
class PHIEncryption:
    def encrypt_phi_at_rest(self, phi_data):
        """
        HIPAA-compliant encryption for PHI
        """
        # Use FIPS 140-2 validated encryption
        encryption_config = {
            'algorithm': 'AES-256-CBC',
            'key_derivation': 'PBKDF2',
            'iterations': 100000,
            'validation': 'FIPS-140-2-Level-2'
        }

        # Encrypt PHI fields
        encrypted_phi = {}
        for field, value in phi_data.items():
            if self._is_phi_field(field):
                encrypted_phi[field] = self._encrypt_field(value, encryption_config)
            else:
                encrypted_phi[field] = value

        return encrypted_phi

    def secure_phi_transmission(self):
        """
        Secure PHI during transmission
        """
        return {
            'protocols': ['TLS 1.2+'],
            'vpn_required': True,
            'email_encryption': 'S/MIME or PGP required',
            'fax_alternative': 'Secure messaging portal'
        }
'''
        }

        # Administrative Safeguards
        admin_controls = {
            'workforce_training': '''
class HIPAATraining:
    def track_training_compliance(self, employee):
        """
        Ensure workforce HIPAA training compliance
        """
        required_modules = [
            'HIPAA Privacy Rule',
            'HIPAA Security Rule',
            'PHI Handling Procedures',
            'Breach Notification',
            'Patient Rights',
            'Minimum Necessary Standard'
        ]

        training_status = {
            'employee_id': employee.id,
            'completed_modules': [],
            'pending_modules': [],
            'last_training_date': None,
            'next_due_date': None
        }

        for module in required_modules:
            completion = self._check_module_completion(employee.id, module)
            if completion and completion['date'] > datetime.now() - timedelta(days=365):
                training_status['completed_modules'].append(module)
            else:
                training_status['pending_modules'].append(module)

        return training_status
'''
        }

        return {
            'technical': technical_controls,
            'administrative': admin_controls
        }

6. Payment Card Compliance (PCI-DSS)

Implement PCI-DSS requirements:

PCI-DSS Controls

class PCIDSSCompliance:
    def implement_pci_controls(self):
        """
        Implement PCI-DSS v4.0 requirements
        """
        controls = {
            'cardholder_data_protection': '''
class CardDataProtection:
    def __init__(self):
        # Never store these
        self.prohibited_data = ['cvv', 'cvv2', 'cvc2', 'cid', 'pin', 'pin_block']

    def handle_card_data(self, card_info):
        """
        PCI-DSS compliant card data handling
        """
        # Immediately tokenize
        token = self.tokenize_card(card_info)

        # If must store, only store allowed fields
        stored_data = {
            'token': token,
            'last_four': card_info['number'][-4:],
            'exp_month': card_info['exp_month'],
            'exp_year': card_info['exp_year'],
            'cardholder_name': self._encrypt(card_info['name'])
        }

        # Never log full card number
        self._log_transaction(token, 'XXXX-XXXX-XXXX-' + stored_data['last_four'])

        return stored_data

    def tokenize_card(self, card_info):
        """
        Replace PAN with token
        """
        # Use payment processor tokenization
        response = payment_processor.tokenize({
            'number': card_info['number'],
            'exp_month': card_info['exp_month'],
            'exp_year': card_info['exp_year']
        })

        return response['token']
''',
            'network_segmentation': '''
# Network segmentation for PCI compliance
class PCINetworkSegmentation:
    def configure_network_zones(self):
        """
        Implement network segmentation
        """
        zones = {
            'cde': {  # Cardholder Data Environment
                'description': 'Systems that process, store, or transmit CHD',
                'controls': [
                    'Firewall required',
                    'IDS/IPS monitoring',
                    'No direct internet access',
                    'Quarterly vulnerability scans',
                    'Annual penetration testing'
                ]
            },
            'dmz': {
                'description': 'Public-facing systems',
                'controls': [
                    'Web application firewall',
                    'No CHD storage allowed',
                    'Regular security scanning'
                ]
            },
            'internal': {
                'description': 'Internal corporate network',
                'controls': [
                    'Segmented from CDE',
                    'Limited CDE access',
                    'Standard security controls'
                ]
            }
        }

        return zones
''',
            'vulnerability_management': '''
class PCIVulnerabilityManagement:
    def quarterly_scan_requirements(self):
        """
        PCI-DSS quarterly scan requirements
        """
        scan_config = {
            'internal_scans': {
                'frequency': 'quarterly',
                'scope': 'all CDE systems',
                'tool': 'PCI-approved scanning vendor',
                'passing_criteria': 'No high-risk vulnerabilities'
            },
            'external_scans': {
                'frequency': 'quarterly',
                'performed_by': 'ASV (Approved Scanning Vendor)',
                'scope': 'All external-facing IP addresses',
                'passing_criteria': 'Clean scan with no failures'
            },
            'remediation_timeline': {
                'critical': '24 hours',
                'high': '7 days',
                'medium': '30 days',
                'low': '90 days'
            }
        }

        return scan_config
'''
        }

        return controls

7. Continuous Compliance Monitoring

Set up automated compliance monitoring:

Compliance Dashboard

class ComplianceDashboard:
    def generate_realtime_dashboard(self):
        """
        Real-time compliance status dashboard
        """
        dashboard = {
            'timestamp': datetime.utcnow(),
            'overall_compliance_score': 0,
            'regulations': {}
        }

        # GDPR Compliance Metrics
        dashboard['regulations']['GDPR'] = {
            'score': self.calculate_gdpr_score(),
            'status': 'COMPLIANT',
            'metrics': {
                'consent_rate': '87%',
                'data_requests_sla': '98% within 30 days',
                'privacy_policy_version': '2.1',
                'last_dpia': '2025-06-15',
                'encryption_coverage': '100%',
                'third_party_agreements': '12/12 signed'
            },
            'issues': [
                {
                    'severity': 'medium',
                    'issue': 'Cookie consent banner update needed',
                    'due_date': '2025-08-01'
                }
            ]
        }

        # HIPAA Compliance Metrics
        dashboard['regulations']['HIPAA'] = {
            'score': self.calculate_hipaa_score(),
            'status': 'NEEDS_ATTENTION',
            'metrics': {
                'risk_assessment_current': True,
                'workforce_training_compliance': '94%',
                'baa_agreements': '8/8 current',
                'encryption_status': 'All PHI encrypted',
                'access_reviews': 'Completed 2025-06-30',
                'incident_response_tested': '2025-05-15'
            },
            'issues': [
                {
                    'severity': 'high',
                    'issue': '3 employees overdue for training',
                    'due_date': '2025-07-25'
                }
            ]
        }

        return dashboard

Automated Compliance Checks

# .github/workflows/compliance-check.yml
name: Compliance Checks

on:
  push:
    branches: [main, develop]
  pull_request:
  schedule:
    - cron: "0 0 * * *" # Daily compliance check

jobs:
  compliance-scan:
    runs-on: ubuntu-latest

    steps:
      - uses: actions/checkout@v3

      - name: GDPR Compliance Check
        run: |
          python scripts/compliance/gdpr_checker.py

      - name: Security Headers Check
        run: |
          python scripts/compliance/security_headers.py

      - name: Dependency License Check
        run: |
          license-checker --onlyAllow 'MIT;Apache-2.0;BSD-3-Clause;ISC'

      - name: PII Detection Scan
        run: |
          # Scan for hardcoded PII
          python scripts/compliance/pii_scanner.py

      - name: Encryption Verification
        run: |
          # Verify all sensitive data is encrypted
          python scripts/compliance/encryption_checker.py

      - name: Generate Compliance Report
        if: always()
        run: |
          python scripts/compliance/generate_report.py > compliance-report.json

      - name: Upload Compliance Report
        uses: actions/upload-artifact@v3
        with:
          name: compliance-report
          path: compliance-report.json

8. Compliance Documentation

Generate required documentation:

Privacy Policy Generator

def generate_privacy_policy(company_info, data_practices):
    """
    Generate GDPR-compliant privacy policy
    """
    policy = f"""
# Privacy Policy

**Last Updated**: {datetime.now().strftime('%B %d, %Y')}

## 1. Data Controller
{company_info['name']}
{company_info['address']}
Email: {company_info['privacy_email']}
DPO: {company_info.get('dpo_contact', '[email protected]')}

## 2. Data We Collect
{generate_data_collection_section(data_practices['data_types'])}

## 3. Legal Basis for Processing
{generate_legal_basis_section(data_practices['purposes'])}

## 4. Your Rights
Under GDPR, you have the following rights:
- Right to access your personal data
- Right to rectification
- Right to erasure ('right to be forgotten')
- Right to restrict processing
- Right to data portability
- Right to object
- Rights related to automated decision making

## 5. Data Retention
{generate_retention_policy(data_practices['retention_periods'])}

## 6. International Transfers
{generate_transfer_section(data_practices['international_transfers'])}

## 7. Contact Us
To exercise your rights, contact: {company_info['privacy_email']}
"""

    return policy

Output Format

1. Compliance Assessment: Current compliance status across all applicable regulations
2. Gap Analysis: Specific areas needing attention with severity ratings
3. Implementation Plan: Prioritized roadmap for achieving compliance
4. Technical Controls: Code implementations for required controls
5. Policy Templates: Privacy policies, consent forms, and notices
6. Audit Procedures: Scripts for continuous compliance monitoring
7. Documentation: Required records and evidence for auditors
8. Training Materials: Workforce compliance training resources

Focus on practical implementation that balances compliance requirements with business operations and user experience.