Compliance Management¶

Comprehensive compliance management framework for Anya Enterprise security and regulatory requirements.

Overview¶

This document outlines the compliance management processes, frameworks, and procedures for maintaining regulatory compliance across all Anya Enterprise operations.

Compliance Frameworks¶

SOC 2 Type II¶

Trust Service Criteria¶

Security

• Logical and physical access controls
• System operations and availability
• Change management processes

Availability

• System availability monitoring
• Incident response procedures
• Business continuity planning

Processing Integrity

• Data processing accuracy
• Completeness verification
• Error detection and correction

Confidentiality

• Data classification and handling
• Encryption requirements
• Access restrictions

Privacy

• Personal data protection
• Consent management
• Data subject rights

Implementation Framework¶

interface SOC2Control {
  id: string;
  title: string;
  description: string;
  category: 'security' | 'availability' | 'processing_integrity' | 'confidentiality' | 'privacy';
  control_type: 'preventive' | 'detective' | 'corrective';
  implementation_status: 'not_started' | 'in_progress' | 'implemented' | 'tested';
  testing_frequency: 'monthly' | 'quarterly' | 'annually';
  evidence_requirements: string[];
  responsible_team: string;
  last_tested: Date;
  next_test_date: Date;
  findings: string[];
  remediation_items: string[];
}

class SOC2ComplianceManager {
  async evaluateControl(control: SOC2Control): Promise<ControlTestResult> {
    const testResults = await this.performControlTest(control);
    const evidence = await this.collectEvidence(control);

    return {
      control_id: control.id,
      test_date: new Date(),
      test_result: testResults.passed ? 'passed' : 'failed',
      findings: testResults.findings,
      evidence_collected: evidence,
      recommendations: this.generateRecommendations(testResults),
      next_test_date: this.calculateNextTestDate(control.testing_frequency)
    };
  }

  async generateSOC2Report(): Promise<SOC2Report> {
    const controls = await this.getAllControls();
    const testResults = [];

    for (const control of controls) {
      const result = await this.evaluateControl(control);
      testResults.push(result);
    }

    return {
      report_period: this.getReportPeriod(),
      entity_description: await this.getEntityDescription(),
      trust_service_criteria: this.analyzeTrustServiceCriteria(testResults),
      control_results: testResults,
      management_assertions: await this.getManagementAssertions(),
      independent_auditor_report: await this.getAuditorReport(),
      overall_opinion: this.determineOverallOpinion(testResults)
    };
  }
}

GDPR Compliance¶

Data Protection Principles¶

Lawfulness, Fairness, and Transparency

class GDPRLawfulnessCheck:
    LAWFUL_BASES = [
        'consent',
        'contract',
        'legal_obligation',
        'vital_interests',
        'public_task',
        'legitimate_interests'
    ]

    def validate_processing_basis(self, processing_activity: dict) -> bool:
        """Validate that processing has a lawful basis"""
        return processing_activity.get('lawful_basis') in self.LAWFUL_BASES

    def check_consent_requirements(self, consent_record: dict) -> dict:
        """Check if consent meets GDPR requirements"""
        requirements = {
            'freely_given': consent_record.get('freely_given', False),
            'specific': consent_record.get('specific', False),
            'informed': consent_record.get('informed', False),
            'unambiguous': consent_record.get('unambiguous', False),
            'withdrawable': consent_record.get('withdrawable', False)
        }

        return {
            'valid': all(requirements.values()),
            'requirements_met': requirements,
            'missing_requirements': [k for k, v in requirements.items() if not v]
        }

Purpose Limitation

• Processing must be for specified, explicit, and legitimate purposes
• No further processing incompatible with original purposes
• Document all processing purposes clearly

Data Minimization

• Collect only data that is adequate, relevant, and limited to what is necessary
• Regular reviews of data collection practices
• Automated data retention policies

Accuracy

interface DataAccuracyControl {
  data_type: string;
  accuracy_requirements: string[];
  validation_rules: ValidationRule[];
  correction_procedures: string[];
  verification_frequency: string;
}

class DataAccuracyManager {
  async validateDataAccuracy(data: PersonalData): Promise<AccuracyResult> {
    const validationResults = [];

    for (const field of data.fields) {
      const rules = await this.getValidationRules(field.type);
      const result = await this.validateField(field, rules);
      validationResults.push(result);
    }

    return {
      overall_accuracy: this.calculateAccuracyScore(validationResults),
      field_results: validationResults,
      required_corrections: this.identifyCorrections(validationResults),
      next_verification_date: this.calculateNextVerification(data.type)
    };
  }
}

Storage Limitation

-- Automated data retention policies
CREATE TABLE data_retention_policies (
    id UUID PRIMARY KEY,
    data_category VARCHAR(100) NOT NULL,
    retention_period INTERVAL NOT NULL,
    deletion_method VARCHAR(50) NOT NULL,
    legal_basis TEXT,
    created_at TIMESTAMP DEFAULT NOW(),
    updated_at TIMESTAMP DEFAULT NOW()
);

-- Automatic deletion function
CREATE OR REPLACE FUNCTION auto_delete_expired_data()
RETURNS void AS $$
DECLARE
    policy RECORD;
BEGIN
    FOR policy IN SELECT * FROM data_retention_policies LOOP
        EXECUTE format('
            DELETE FROM %I 
            WHERE created_at < NOW() - %L::INTERVAL
        ', policy.data_category, policy.retention_period);

        -- Log deletion
        INSERT INTO data_deletion_log (
            policy_id, deletion_date, records_deleted
        ) VALUES (
            policy.id, NOW(), 
            (SELECT ROW_COUNT())
        );
    END LOOP;
END;
$$ LANGUAGE plpgsql;

Data Subject Rights¶

Right of Access (Article 15)

class DataSubjectAccessHandler:
    async def process_access_request(self, request: AccessRequest) -> AccessResponse:
        """Process data subject access request"""
        try:
            # Verify identity
            identity_verified = await self.verify_identity(request.subject_id, request.verification_data)
            if not identity_verified:
                return AccessResponse(status='rejected', reason='identity_not_verified')

            # Collect all personal data
            personal_data = await self.collect_personal_data(request.subject_id)

            # Include processing information
            processing_info = await self.get_processing_information(request.subject_id)

            # Generate response
            return AccessResponse(
                status='completed',
                personal_data=personal_data,
                processing_activities=processing_info,
                data_sources=await self.get_data_sources(request.subject_id),
                recipients=await self.get_data_recipients(request.subject_id),
                retention_periods=await self.get_retention_periods(personal_data)
            )

        except Exception as e:
            return AccessResponse(status='error', reason=str(e))

Right to Rectification (Article 16)

interface RectificationRequest {
  subject_id: string;
  incorrect_data: DataField[];
  corrected_data: DataField[];
  supporting_evidence: string[];
}

class DataRectificationHandler {
  async processRectificationRequest(request: RectificationRequest): Promise<RectificationResponse> {
    // Validate correction request
    const validation = await this.validateCorrections(request);
    if (!validation.valid) {
      return { status: 'rejected', reason: validation.reason };
    }

    // Apply corrections
    const corrections = [];
    for (const correction of request.corrected_data) {
      const result = await this.applyCorrection(
        request.subject_id,
        correction.field,
        correction.new_value
      );
      corrections.push(result);
    }

    // Notify third parties if required
    await this.notifyThirdParties(request.subject_id, corrections);

    return {
      status: 'completed',
      corrections_applied: corrections,
      notification_sent: true,
      completion_date: new Date()
    };
  }
}

Right to Erasure (Article 17)

class DataErasureHandler:
    async def process_erasure_request(self, request: ErasureRequest) -> ErasureResponse:
        """Process right to be forgotten request"""

        # Check if erasure is legally required or permissible
        erasure_assessment = await self.assess_erasure_grounds(request)
        if not erasure_assessment.permitted:
            return ErasureResponse(
                status='rejected',
                reason=erasure_assessment.legal_grounds_to_retain
            )

        # Identify all data to be erased
        data_inventory = await self.identify_personal_data(request.subject_id)

        # Perform secure erasure
        erasure_results = []
        for data_location in data_inventory:
            result = await self.secure_erase_data(data_location)
            erasure_results.append(result)

        # Notify third parties
        await self.notify_erasure_to_recipients(request.subject_id)

        return ErasureResponse(
            status='completed',
            data_erased=erasure_results,
            verification_method='cryptographic_hash_verification',
            completion_certificate=await self.generate_completion_certificate()
        )

PCI DSS Compliance¶

Secure Network Architecture¶

# PCI DSS Network Segmentation
network_zones:
  cardholder_data_environment:
    description: "Systems that store, process, or transmit cardholder data"
    security_level: "highest"
    access_controls:
      - two_factor_authentication
      - role_based_access
      - privileged_access_management
    monitoring:
      - real_time_log_monitoring
      - intrusion_detection
      - file_integrity_monitoring

  internal_network:
    description: "Internal corporate systems"
    security_level: "high"
    access_controls:
      - network_access_control
      - endpoint_protection

  dmz:
    description: "Public-facing systems"
    security_level: "medium"
    access_controls:
      - web_application_firewall
      - ddos_protection

firewall_rules:
  default_deny: true
  allowed_connections:
    - source: "web_servers"
      destination: "application_servers"
      ports: [443, 80]
      protocol: "tcp"
    - source: "application_servers"
      destination: "database_servers"
      ports: [5432]
      protocol: "tcp"

Cardholder Data Protection¶

class CardholderDataProtection:
    def __init__(self):
        self.encryption_key = self.load_encryption_key()
        self.tokenization_service = TokenizationService()

    def protect_pan(self, pan: str) -> ProtectedPAN:
        """Protect Primary Account Number according to PCI DSS requirements"""

        # Validate PAN format
        if not self.validate_pan_format(pan):
            raise ValueError("Invalid PAN format")

        # Mask PAN for display (show only first 6 and last 4 digits)
        masked_pan = self.mask_pan(pan)

        # Encrypt for storage
        encrypted_pan = self.encrypt_pan(pan)

        # Generate token for processing
        token = self.tokenization_service.tokenize(pan)

        return ProtectedPAN(
            masked=masked_pan,
            encrypted=encrypted_pan,
            token=token,
            hash=self.hash_pan(pan)  # For verification without decryption
        )

    def mask_pan(self, pan: str) -> str:
        """Mask PAN showing only first 6 and last 4 digits"""
        if len(pan) < 10:
            return "*" * len(pan)

        return pan[:6] + "*" * (len(pan) - 10) + pan[-4:]

    def encrypt_pan(self, pan: str) -> str:
        """Encrypt PAN using AES-256"""
        from cryptography.fernet import Fernet

        cipher = Fernet(self.encryption_key)
        encrypted = cipher.encrypt(pan.encode())
        return encrypted.hex()

ISO 27001 Compliance¶

Information Security Management System (ISMS)¶

interface ISMSControl {
  id: string;
  category: string;
  subcategory: string;
  title: string;
  description: string;
  implementation_guidance: string;
  implementation_status: 'not_applicable' | 'planned' | 'implemented' | 'monitored';
  risk_treatment: 'accept' | 'avoid' | 'transfer' | 'reduce';
  control_effectiveness: 'low' | 'medium' | 'high';
  testing_frequency: string;
  responsible_role: string;
  related_controls: string[];
}

class ISO27001ComplianceManager {
  async performRiskAssessment(): Promise<RiskAssessmentReport> {
    const assets = await this.identifyAssets();
    const threats = await this.identifyThreats();
    const vulnerabilities = await this.identifyVulnerabilities();

    const risks = [];
    for (const asset of assets) {
      for (const threat of threats) {
        const applicableVulns = vulnerabilities.filter(v => 
          v.affects_asset_type === asset.type
        );

        for (const vuln of applicableVulns) {
          const risk = await this.calculateRisk(asset, threat, vuln);
          if (risk.level !== 'negligible') {
            risks.push(risk);
          }
        }
      }
    }

    return {
      assessment_date: new Date(),
      methodology: 'ISO 27005',
      assets_assessed: assets.length,
      risks_identified: risks.length,
      high_risks: risks.filter(r => r.level === 'high').length,
      medium_risks: risks.filter(r => r.level === 'medium').length,
      low_risks: risks.filter(r => r.level === 'low').length,
      risk_register: risks,
      treatment_plan: await this.generateTreatmentPlan(risks)
    };
  }
}

Compliance Monitoring¶

Automated Compliance Checks¶

#!/usr/bin/env python3
"""
Automated Compliance Monitoring System
"""

import asyncio
import logging
from datetime import datetime, timedelta
from typing import Dict, List

class ComplianceMonitor:
    def __init__(self):
        self.logger = logging.getLogger(__name__)
        self.compliance_rules = self.load_compliance_rules()

    async def run_daily_checks(self) -> Dict:
        """Run daily compliance checks across all frameworks"""
        results = {
            'timestamp': datetime.now(),
            'frameworks': {},
            'overall_status': 'compliant',
            'violations': [],
            'recommendations': []
        }

        # SOC 2 daily checks
        soc2_results = await self.check_soc2_compliance()
        results['frameworks']['soc2'] = soc2_results

        # GDPR daily checks
        gdpr_results = await self.check_gdpr_compliance()
        results['frameworks']['gdpr'] = gdpr_results

        # PCI DSS daily checks
        pci_results = await self.check_pci_compliance()
        results['frameworks']['pci'] = pci_results

        # ISO 27001 daily checks
        iso_results = await self.check_iso27001_compliance()
        results['frameworks']['iso27001'] = iso_results

        # Aggregate results
        all_violations = []
        for framework, framework_results in results['frameworks'].items():
            all_violations.extend(framework_results.get('violations', []))

        results['violations'] = all_violations
        results['overall_status'] = 'non_compliant' if all_violations else 'compliant'

        # Generate recommendations
        results['recommendations'] = await self.generate_recommendations(all_violations)

        return results

    async def check_data_retention_compliance(self) -> List[Dict]:
        """Check if data retention policies are being followed"""
        violations = []

        # Check for data past retention period
        expired_data = await self.find_expired_data()
        if expired_data:
            violations.append({
                'type': 'data_retention_violation',
                'severity': 'high',
                'description': f"Found {len(expired_data)} records past retention period",
                'records': expired_data,
                'remediation': 'Schedule immediate data deletion'
            })

        # Check consent expiration
        expired_consents = await self.find_expired_consents()
        if expired_consents:
            violations.append({
                'type': 'consent_expiration',
                'severity': 'medium',
                'description': f"Found {len(expired_consents)} expired consents",
                'consents': expired_consents,
                'remediation': 'Request consent renewal or stop processing'
            })

        return violations

Compliance Reporting¶

interface ComplianceReport {
  report_id: string;
  report_type: 'monthly' | 'quarterly' | 'annual' | 'incident';
  framework: string;
  reporting_period: {
    start_date: Date;
    end_date: Date;
  };
  executive_summary: string;
  compliance_status: 'compliant' | 'non_compliant' | 'partially_compliant';
  key_metrics: ComplianceMetric[];
  violations_summary: ViolationSummary;
  remediation_status: RemediationStatus[];
  recommendations: string[];
  next_assessment_date: Date;
}

class ComplianceReporter {
  async generateMonthlyReport(framework: string): Promise<ComplianceReport> {
    const period = this.getCurrentMonthPeriod();
    const violations = await this.getViolations(framework, period);
    const metrics = await this.calculateMetrics(framework, period);

    return {
      report_id: this.generateReportId(),
      report_type: 'monthly',
      framework,
      reporting_period: period,
      executive_summary: this.generateExecutiveSummary(violations, metrics),
      compliance_status: this.determineComplianceStatus(violations),
      key_metrics: metrics,
      violations_summary: this.summarizeViolations(violations),
      remediation_status: await this.getRemediationStatus(violations),
      recommendations: await this.generateRecommendations(violations),
      next_assessment_date: this.calculateNextAssessment(framework)
    };
  }
}

Audit Management¶

Internal Audits¶

class InternalAuditManager:
    def __init__(self):
        self.audit_schedule = self.load_audit_schedule()
        self.audit_procedures = self.load_audit_procedures()

    async def conduct_control_audit(self, control_id: str) -> AuditResult:
        """Conduct internal audit of a specific control"""
        control = await self.get_control(control_id)
        procedure = self.audit_procedures[control.category]

        # Execute audit steps
        test_results = []
        for step in procedure.test_steps:
            result = await self.execute_audit_step(step, control)
            test_results.append(result)

        # Evaluate evidence
        evidence_evaluation = await self.evaluate_evidence(
            control, test_results
        )

        # Determine audit opinion
        opinion = self.determine_audit_opinion(test_results, evidence_evaluation)

        return AuditResult(
            control_id=control_id,
            audit_date=datetime.now(),
            auditor=self.get_current_auditor(),
            test_results=test_results,
            evidence_collected=evidence_evaluation.evidence_items,
            findings=evidence_evaluation.findings,
            opinion=opinion,
            recommendations=await self.generate_audit_recommendations(
                test_results, evidence_evaluation
            )
        )

External Audits¶

interface ExternalAuditPreparation {
  audit_firm: string;
  audit_scope: string[];
  preparation_checklist: ChecklistItem[];
  document_repository: string;
  liaison_team: TeamMember[];
  timeline: AuditTimeline;
}

class ExternalAuditManager {
  async prepareForExternalAudit(audit_type: string): Promise<ExternalAuditPreparation> {
    const scope = await this.defineAuditScope(audit_type);
    const checklist = await this.generatePreparationChecklist(scope);

    // Prepare audit evidence
    await this.organizeAuditEvidence(scope);

    // Brief liaison team
    const liaisonTeam = await this.assembleLiaisonTeam(scope);
    await this.briefLiaisonTeam(liaisonTeam, scope);

    return {
      audit_firm: this.getAuditFirm(audit_type),
      audit_scope: scope,
      preparation_checklist: checklist,
      document_repository: await this.setupDocumentRepository(audit_type),
      liaison_team: liaisonTeam,
      timeline: await this.createAuditTimeline(audit_type)
    };
  }
}

Training and Awareness¶

Compliance Training Program¶

class ComplianceTraining:
    def __init__(self):
        self.training_modules = self.load_training_modules()
        self.completion_tracking = CompletionTracker()

    async def assign_training(self, employee_id: str, role: str) -> TrainingAssignment:
        """Assign compliance training based on employee role"""
        required_modules = await self.get_required_modules(role)

        assignment = TrainingAssignment(
            employee_id=employee_id,
            modules=required_modules,
            due_date=datetime.now() + timedelta(days=30),
            priority='high' if role in ['admin', 'security'] else 'medium'
        )

        await self.send_training_notification(assignment)
        return assignment

    def get_required_modules(self, role: str) -> List[str]:
        """Get required training modules for a specific role"""
        base_modules = ['data_protection_basics', 'security_awareness']

        role_specific = {
            'developer': ['secure_coding', 'privacy_by_design'],
            'admin': ['access_control', 'incident_response'],
            'security': ['threat_modeling', 'forensics'],
            'hr': ['employee_data_protection', 'consent_management'],
            'finance': ['pci_compliance', 'financial_data_protection']
        }

        return base_modules + role_specific.get(role, [])

Documentation and Records¶

Record Keeping Requirements¶

-- Compliance documentation tracking
CREATE TABLE compliance_documents (
    id UUID PRIMARY KEY DEFAULT gen_random_uuid(),
    document_type VARCHAR(100) NOT NULL,
    framework VARCHAR(50) NOT NULL,
    title VARCHAR(255) NOT NULL,
    version VARCHAR(20) NOT NULL,
    status VARCHAR(50) NOT NULL,
    created_date TIMESTAMP DEFAULT NOW(),
    last_review_date TIMESTAMP,
    next_review_date TIMESTAMP,
    retention_period INTERVAL,
    responsible_role VARCHAR(100),
    approval_status VARCHAR(50),
    approved_by VARCHAR(100),
    approval_date TIMESTAMP
);

-- Evidence repository
CREATE TABLE compliance_evidence (
    id UUID PRIMARY KEY DEFAULT gen_random_uuid(),
    control_id VARCHAR(100) NOT NULL,
    evidence_type VARCHAR(100) NOT NULL,
    description TEXT,
    file_path TEXT,
    hash_value VARCHAR(256),
    collection_date TIMESTAMP DEFAULT NOW(),
    collected_by VARCHAR(100),
    verification_status VARCHAR(50),
    retention_date TIMESTAMP
);

See Also¶

• Incident Response
• Security Monitoring
• Audit Framework
• Risk Management

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This document is part of the Anya Enterprise Compliance Framework and should be reviewed quarterly.