Compliance Model Documentation

Overview

The Compliance model provides comprehensive regulatory compliance management for the CODITECT platform, supporting GDPR, SOC2, and other regulatory frameworks. It manages data retention policies, data subject requests, compliance reporting, and evidence collection. The model ensures the platform meets legal requirements while maintaining operational efficiency.

Model Structure

RetentionPolicy Model

Core Fields

Field	Type	Description	Constraints
id	String	Unique policy identifier	Primary key, system-defined
name	String	Policy display name	Required
description	String	Policy purpose	Optional
data_type	DataType (Enum)	Type of data covered	Required
retention_period	Duration	How long to retain data	Required
action	RetentionAction (Enum)	Action when period expires	Required
legal_basis	String	Legal justification	Required for compliance
active	bool	Policy enforcement status	Required
created_at	DateTime	Policy creation time	Auto-set
last_executed	DateTime (Optional)	Last enforcement run	Updated on execution

DataType Enum

enum DataType {
    AuditLog,        // Security audit records
    SecurityEvent,   // Security incidents
    UserActivity,    // User behavior data
    PersonalData,    // PII/Personal information
    FinancialRecord, // Billing and payments
    SystemLog,       // Application logs
    AnalyticsData,   // Usage analytics
    SessionData      // Authentication sessions
}

RetentionAction Enum

enum RetentionAction {
    Delete,    // Permanent removal (careful with audit logs!)
    Anonymize, // Remove PII, keep analytics
    Archive,   // Move to cold storage
    Review,    // Flag for manual review
    Export     // Export before deletion
}

DataSubjectRequest Model (GDPR)

Core Fields

Field	Type	Description	Constraints
id	UUID	Unique request identifier	Primary key
tenant_id	UUID	Associated tenant	Foreign key to Tenant
subject_id	UUID	Data subject (user)	Foreign key to User
request_type	DsrType (Enum)	GDPR request type	Required
status	DsrStatus (Enum)	Current status	Required
requested_at	DateTime	Request timestamp	Auto-set
requested_by	UUID	Requester identity	Required
approved_by	UUID (Optional)	Approver identity	For audit trail
completed_at	DateTime (Optional)	Completion time	Set on completion
data_categories	Vec	Data types requested	Default: ["all"]
result_location	String (Optional)	Export location	S3/GCS URL
error_message	String (Optional)	Failure reason	For failed requests
metadata	JSON	Additional context	Flexible structure

DsrType Enum (GDPR Articles)

enum DsrType {
    Access,        // Article 15 - Right of access
    Portability,   // Article 20 - Data portability
    Erasure,       // Article 17 - Right to be forgotten
    Rectification, // Article 16 - Right to rectification
    Restriction,   // Article 18 - Right to restriction
    Objection      // Article 21 - Right to object
}

DsrStatus Enum

enum DsrStatus {
    Pending,    // Awaiting approval
    Approved,   // Approved for processing
    Processing, // Being executed
    Completed,  // Successfully completed
    Failed,     // Processing failed
    Cancelled   // Cancelled by user/admin
}

ComplianceReport Model

Core Fields

Field	Type	Description
id	UUID	Report identifier
report_type	ReportType (Enum)	Type of compliance report
period_start	DateTime	Reporting period start
period_end	DateTime	Reporting period end
generated_at	DateTime	Generation timestamp
generated_by	String	Generator identity
sections	Vec	Report sections
summary	ReportSummary	Executive summary

ReportType Enum

enum ReportType {
    SOC2TypeII,
    GDPRCompliance,
    DataRetention,
    AccessControl,
    SecurityAudit,
    CustomAudit(String)
}

Default Retention Policies

Standard Policies

Data Type	Retention Period	Action	Legal Basis
Audit Logs	7 years	Archive	Regulatory compliance
Security Events	2 years	Archive	Security compliance
User Activity	90 days	Anonymize	Privacy protection
Session Data	30 days	Delete	Security best practice
Financial Records	7 years	Archive	Tax compliance
Personal Data	Active + 30 days	Anonymize	GDPR compliance

Policy Examples

Audit Log Retention

{
  "id": "audit-log-retention",
  "name": "Audit Log Retention",
  "description": "Retain audit logs for compliance and security analysis",
  "data_type": "AuditLog",
  "retention_period": "P2555D",
  "action": "Archive",
  "legal_basis": "SOC2 Type II compliance requirement",
  "active": true,
  "created_at": "2025-01-01T00:00:00Z",
  "last_executed": "2025-08-29T00:00:00Z"
}

GDPR Personal Data

{
  "id": "gdpr-personal-data",
  "name": "GDPR Personal Data Retention",
  "description": "Anonymize personal data after account closure",
  "data_type": "PersonalData",
  "retention_period": "P30D",
  "action": "Anonymize",
  "legal_basis": "GDPR Article 5(1)(e) - storage limitation",
  "active": true,
  "created_at": "2025-01-01T00:00:00Z",
  "last_executed": "2025-08-29T00:00:00Z"
}

Data Subject Request Examples

Access Request

{
  "id": "550e8400-e29b-41d4-a716-446655440000",
  "tenant_id": "123e4567-e89b-12d3-a456-426614174000",
  "subject_id": "456e7890-e89b-12d3-a456-426614174000",
  "request_type": "Access",
  "status": "Completed",
  "requested_at": "2025-08-15T10:00:00Z",
  "requested_by": "456e7890-e89b-12d3-a456-426614174000",
  "approved_by": "789e0123-e89b-12d3-a456-426614174000",
  "completed_at": "2025-08-15T11:30:00Z",
  "data_categories": ["Profile", "Activity", "Preferences"],
  "result_location": "s3://gdpr-exports/550e8400-export.zip",
  "metadata": {
    "export_format": "json",
    "file_size_mb": 25.3,
    "record_count": 15420
  }
}

Erasure Request

{
  "id": "660e8400-e29b-41d4-a716-446655440000",
  "tenant_id": "123e4567-e89b-12d3-a456-426614174000",
  "subject_id": "567e8901-e89b-12d3-a456-426614174000",
  "request_type": "Erasure",
  "status": "Processing",
  "requested_at": "2025-08-29T09:00:00Z",
  "requested_by": "567e8901-e89b-12d3-a456-426614174000",
  "approved_by": "890e1234-e89b-12d3-a456-426614174000",
  "data_categories": ["all"],
  "metadata": {
    "reason": "Account closure",
    "verification_method": "email",
    "retention_exceptions": ["financial_records", "legal_holds"]
  }
}

Compliance Report Structure

SOC2 Type II Report Example

{
  "id": "770e8400-e29b-41d4-a716-446655440000",
  "report_type": "SOC2TypeII",
  "period_start": "2025-01-01T00:00:00Z",
  "period_end": "2025-06-30T23:59:59Z",
  "generated_at": "2025-07-15T10:00:00Z",
  "generated_by": "compliance-service",
  "sections": [
    {
      "title": "Security",
      "status": "Compliant",
      "findings": [],
      "metrics": {
        "security_incidents": 0,
        "patch_compliance": 99.8,
        "vulnerability_scan_frequency": "weekly"
      },
      "evidence": [
        {
          "id": "sec-001",
          "evidence_type": "TestResult",
          "description": "Penetration test results",
          "collected_at": "2025-06-15T00:00:00Z",
          "source": "third-party-auditor"
        }
      ]
    }
  ],
  "summary": {
    "total_controls": 150,
    "compliant_controls": 147,
    "non_compliant_controls": 3,
    "critical_findings": 0,
    "overall_score": 98.0,
    "risk_level": "Low"
  }
}

Database Schema

Primary Storage Patterns

# Retention policies
/compliance/retention_policies/{policy_id}
Value: JSON serialized RetentionPolicy

# Data subject requests
/{tenant_id}/data_subject_requests/{request_id}
Value: JSON serialized DataSubjectRequest

# Compliance reports
/{tenant_id}/compliance_reports/{report_type}/{period}/{report_id}
Value: JSON serialized ComplianceReport

# Evidence storage
/compliance/evidence/{evidence_id}
Value: JSON serialized Evidence

Secondary Indexes

# DSR by subject
/{tenant_id}/dsr_by_subject/{subject_id} -> [request_ids]

# DSR by status
/{tenant_id}/dsr_by_status/{status} -> [request_ids]

# Active retention policies
/compliance/active_retention_policies -> [policy_ids]

# Reports by type
/{tenant_id}/reports_by_type/{report_type} -> [report_ids]

Compliance Workflows

Data Subject Request Processing

1. Request Submission
   - User submits request
   - Initial validation
   - Create DSR record

2. Approval
   - Admin review
   - Legal verification
   - Approve/Reject decision

3. Processing
   - Identify data sources
   - Collect relevant data
   - Apply filters/exclusions

4. Export/Action
   - Generate export file
   - Perform requested action
   - Store in secure location

5. Notification
   - Notify requester
   - Provide download link
   - Log completion

Retention Policy Execution

1. Schedule Check
   - Run daily/hourly
   - Check active policies

2. Data Identification
   - Query data by type
   - Calculate age
   - Identify expired records

3. Action Execution
   - Delete: Permanent removal
   - Anonymize: Remove PII
   - Archive: Move to cold storage
   - Export: Create backup

4. Audit Logging
   - Log all actions
   - Update policy execution time
   - Generate compliance report

API Endpoints

Data Subject Requests

• POST /api/compliance/dsr - Submit new request
• GET /api/compliance/dsr/{request_id} - Get request status
• PUT /api/compliance/dsr/{request_id}/approve - Approve request
• GET /api/compliance/dsr/my-requests - User's requests

Retention Policies

• GET /api/compliance/retention-policies - List policies
• POST /api/compliance/retention-policies - Create policy
• PUT /api/compliance/retention-policies/{id} - Update policy
• POST /api/compliance/retention-policies/{id}/execute - Manual execution

Compliance Reports

• GET /api/compliance/reports - List reports
• POST /api/compliance/reports/generate - Generate report
• GET /api/compliance/reports/{report_id} - Get report details
• GET /api/compliance/reports/{report_id}/export - Export report

Security Considerations

Access Control

• DSR submission: Authenticated users
• DSR approval: Compliance officers only
• Policy management: Admin only
• Report generation: Compliance team
• Evidence access: Auditors

Data Protection

• Encrypted storage for exports
• Secure deletion verification
• Audit trail for all actions
• PII masking in logs
• Access logging

Legal Safeguards

• Legal hold preservation
• Deletion verification
• Anonymization validation
• Export integrity checks
• Chain of custody

Compliance Frameworks

GDPR Compliance

struct GDPRCompliance {
    lawful_basis: LawfulBasis,
    data_minimization: bool,
    purpose_limitation: bool,
    storage_limitation: bool,
    integrity_confidentiality: bool,
    accountability: bool
}

enum LawfulBasis {
    Consent,
    Contract,
    LegalObligation,
    VitalInterests,
    PublicTask,
    LegitimateInterests
}

SOC2 Trust Principles

1. Security: Protect against unauthorized access
2. Availability: System operational and usable
3. Processing Integrity: Complete, valid, accurate
4. Confidentiality: Information designated confidential
5. Privacy: Personal information lifecycle

Monitoring & Alerts

Compliance Metrics

• DSR response time (target: <30 days)
• Policy execution success rate
• Data retention compliance %
• Report generation frequency
• Finding resolution time

Alerts

• DSR approaching deadline
• Policy execution failure
• High-risk findings
• Compliance score drop
• Regulatory changes

Future Enhancements

Advanced Features

1. AI-Powered Compliance: Automated policy recommendations
2. Cross-Border Transfer: Schrems II compliance
3. Privacy by Design: Built-in privacy controls
4. Consent Management: Granular consent tracking

Framework Extensions

1. CCPA Support: California privacy rights
2. HIPAA Compliance: Healthcare data protection
3. PCI-DSS: Payment card security
4. ISO 27001: Information security

Automation

1. Auto-Classification: Identify data types
2. Smart Anonymization: Context-aware PII removal
3. Compliance Scoring: Real-time compliance health
4. Regulatory Updates: Auto-update policies

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Last Updated: 2025-08-29 Version: 1.0