compliance

name	compliance
description	Compliance frameworks (SOC2, HIPAA, GDPR, PCI DSS) with control mappings and implementation guidance

Compliance & Security Standards Skill

Framework-specific compliance guidance for regulated industries: SOC2 Type II, HIPAA, GDPR, and PCI DSS. Includes control mappings, audit logging patterns, data residency rules, and scope reduction strategies.

Overview

Compliance is a multi-layer problem: legal obligations (what must be done), technical controls (how to implement), and operational processes (who does it). This skill focuses on technical controls and their code-level implementation.

Framework Mapping

Framework	Industry	Focus	Audit Frequency	Scope
SOC2 Type II	Cloud/SaaS	Security, availability, confidentiality, integrity, privacy	Annual + 6 months snapshot	All services
HIPAA	Healthcare	Protected Health Information (PHI) protection	Triennial + event-driven	All systems handling PHI
GDPR	EU/International	Personal Data protection and rights	Ongoing (data subject requests)	EU users + data
PCI DSS	Payment	Payment Card Industry data	Annual + quarterly scans	Systems handling card data

SOC2 Type II

Security (CC — Common Criteria)

Control	Implementation	Code Pattern
CC6.1 Infrastructure monitoring	Prometheus metrics on all services	GET /metrics endpoint emits errors, latency, resource usage
CC6.2 Deployment access control	GitHub branch protection + required code review	Enforce 2 approvals before merge to main
CC6.3 Change management	All changes logged with who, when, what	Git commit history + CI/CD logs
CC6.4 Backup & recovery	Automated daily backups with RTO/RPO	pg_dump schedule + S3 replication
CC7.2 Encryption at rest	Database encryption (AWS KMS, PostgreSQL pgcrypto)	CREATE EXTENSION pgcrypto; + field-level encryption
CC7.3 Encryption in transit	TLS 1.2+ for all network traffic	https:// only, no cleartext HTTP
CC7.4 Cryptographic key management	Key rotation, secure storage	AWS Secrets Manager or HashiCorp Vault

Availability (A — Availability and Resilience)

Control	Implementation	Code Pattern
A1.1 Availability SLOs	99.5% uptime target	Monitor error budget daily
A1.2 Incident response	Documented runbooks, on-call escalation	Slack automation + PagerDuty
A2.1 Capacity planning	Monitor and right-size resources	Auto-scaling rules based on CPU/memory

Confidentiality (C — Confidentiality)

Control	Implementation	Code Pattern
C1.1 Data classification	Tag all data fields with sensitivity (public/internal/confidential)	Schema comments: -- @sensitive: true
C1.2 Access controls	Role-based access (RBAC) with least privilege	Middleware: @RequireRole('admin')
C1.3 Audit logging	Log all data access	SELECT * FROM users logs: who, when, what

Integrity (I — Integrity)

Control	Implementation	Code Pattern
I1.1 Data validation	Input validation on all boundaries	Zod/FluentValidation schemas
I2.1 Change detection	Checksums and signatures for critical data	Hash on INSERT/UPDATE, verify on SELECT

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HIPAA (Health Insurance Portability and Accountability Act)

Key Definitions

• PHI (Protected Health Information): Any health information linked to an individual (medical record, payment info, biometric data)
• HIPAA Minimum Necessary: Limit collection, use, and sharing of PHI to what is required
• BAA (Business Associate Agreement): Required if a third party processes PHI on your behalf

Technical Safeguards (Required)

Safeguard	Implementation
Access Controls	User authentication (MFA), authorization (RBAC), PHI field-level encryption
Audit Controls	Immutable audit log: who accessed which PHI, when, from where
Integrity Controls	Data checksums, tamper detection, digital signatures for PHI
Transmission Security	TLS 1.2+ for all PHI transmission; VPN for remote access

Code-Level Implementation

Patient data segregation:

// Mark all PHI fields explicitly
interface Patient {
  id: string; // Not PHI
  email: string; // PHI: emails can identify
  ssn: string; // PHI: highly sensitive
  medicalRecord: string; // PHI: diagnosis, treatment
  createdAt: Date; // Not PHI
}

// Enforce access control on PHI fields
@RequireRole('healthcare-provider')
app.get('/patients/:id', (req, res) => {
  const patient = await db.patient.findUnique({
    where: { id: req.params.id }
  });
  
  // Log PHI access for audit
  auditLog.record({
    action: 'PHI_READ',
    user_id: req.user.id,
    patient_id: patient.id,
    timestamp: new Date(),
    ip_address: req.ip
  });
  
  res.json(patient);
});

Encryption:

// Encrypt sensitive fields at rest
const encryptedSSN = encrypt(patient.ssn, process.env.ENCRYPTION_KEY);
await db.patient.update({
  where: { id: patient.id },
  data: { ssn: encryptedSSN }
});

Audit logging (immutable):

// Append-only audit log (never update/delete)
interface AuditLog {
  id: string;
  action: 'PHI_READ' | 'PHI_CREATE' | 'PHI_UPDATE' | 'PHI_DELETE';
  user_id: string;
  patient_id: string;
  timestamp: Date; // Server time, not client
  ip_address: string;
  user_agent: string;
  phiFields: string[]; // Which fields were accessed
}

// Store in dedicated immutable table
await db.auditLog.create({ data: auditEntry });

---

GDPR (General Data Protection Regulation)

Key Principles

1. Lawfulness, Fairness, Transparency — Must have legal basis for processing personal data
2. Purpose Limitation — Can only use data for declared purpose
3. Data Minimization — Collect only what is necessary
4. Accuracy — Keep personal data accurate and up-to-date
5. Storage Limitation — Don't keep longer than necessary
6. Integrity & Confidentiality — Protect against unauthorized access
7. Accountability — Document why/how data is processed

Data Rights (User-Facing Features)

Right	Implementation	Timeline
Right to Access	/api/users/{id}/export endpoint returns all user data in machine-readable format	30 days
Right to Rectification	/api/users/{id}/data PUT endpoint allows user to correct their data	Immediate
Right to Erasure ("Right to be Forgotten")	/api/users/{id} DELETE removes all personal data (GDPR Article 17)	30 days
Right to Restrict Processing	User can request their data not be processed (e.g., marketing emails)	Immediate
Right to Data Portability	Export in standard format (JSON, CSV) for migration to another service	30 days
Right to Object	Opt out of profiling, automated decision-making	Immediate

Code Implementation

Data export (Right to Access):

app.get('/api/users/:id/export', @Authenticated, async (req, res) => {
  // Verify user is requesting their own data
  if (req.user.id !== req.params.id) throw new UnauthorizedError();
  
  const userData = await db.user.findUnique({
    where: { id: req.params.id },
    include: {
      orders: true,
      addresses: true,
      profile: true
    }
  });
  
  // Log data access for GDPR compliance
  auditLog.record({
    action: 'GDPR_DATA_EXPORT',
    user_id: req.user.id,
    timestamp: new Date()
  });
  
  // Return in machine-readable format
  res.json({
    user: userData,
    exportedAt: new Date().toISOString(),
    dataControllerContact: '[e-mail]'
  });
});

Right to Erasure:

app.delete('/api/users/:id', @Authenticated, async (req, res) => {
  if (req.user.id !== req.params.id) throw new UnauthorizedError();
  
  const user = await db.user.findUnique({ where: { id: req.params.id } });
  
  // Log deletion request
  auditLog.record({
    action: 'GDPR_ERASURE_REQUEST',
    user_id: req.user.id,
    timestamp: new Date()
  });
  
  // Soft delete: mark as erased, but keep for audit trail
  await db.user.update({
    where: { id: req.params.id },
    data: {
      deletedAt: new Date(),
      email: '[ERASED]',
      firstName: '[ERASED]',
      lastName: '[ERASED]',
      // Clear all personal data
    }
  });
  
  res.sendStatus(204);
});

Consent management:

interface UserConsent {
  user_id: string;
  marketing_emails: boolean; // Opt-in
  analytics: boolean; // Opt-in
  third_party_sharing: boolean; // Opt-in
  timestamp: Date;
  ip_address: string;
  user_agent: string;
}

// Always ask before collecting data
app.post('/api/users/{id}/consent', async (req, res) => {
  await db.userConsent.create({
    data: {
      user_id: req.user.id,
      marketing_emails: req.body.marketingEmails,
      analytics: req.body.analytics,
      timestamp: new Date(),
      ip_address: req.ip
    }
  });
  
  // Only send marketing emails if user consented
  if (consent.marketing_emails) {
    await sendMarketingEmail(user);
  }
});

Data retention:

// Schedule job to delete data older than retention period
// GDPR principle: "Storage Limitation"
schedule.every().day.at('02:00').do(async () => {
  const thirtyDaysAgo = new Date(Date.now() - 30 * 24 * 60 * 60 * 1000);
  
  // Delete soft-deleted users after 30 days
  await db.user.deleteMany({
    where: {
      deletedAt: { lt: thirtyDaysAgo }
    }
  });
  
  // Delete old audit logs (keep for 1 year for compliance)
  const oneYearAgo = new Date(Date.now() - 365 * 24 * 60 * 60 * 1000);
  await db.auditLog.deleteMany({
    where: {
      timestamp: { lt: oneYearAgo }
    }
  });
});

---

PCI DSS (Payment Card Industry Data Security Standard)

Scope Reduction Strategy

Golden Rule: Don't store card data. Use a payment processor (Stripe, Square, PayPal) to tokenize and store; keep only the token.

Minimal Implementation (Scope Reduced)

Control	Implementation
No card storage	All card data goes directly to Stripe; you store only token
No PAN (Primary Account Number) in logs	Never log or error-message card numbers
TLS for all card transmissions	HTTPS only; no cleartext HTTP
Access control	Only backend can request card tokens; frontend never sees raw data

Code Pattern

Stripe Tokenization (Recommended):

// Frontend: Use Stripe Elements (handles PCI compliance)
const stripe = require('@stripe/stripe-js');
const card = elements.create('card');
card.mount('#card-element');

// When user submits form
const { token } = await stripe.createToken(card);
// Token is sent to backend, NOT card number
await fetch('/api/payment', {
  method: 'POST',
  body: JSON.stringify({ token: token.id })
});

Backend: Process Token (Not Card Data):

const stripe = require('stripe')(process.env.STRIPE_SECRET_KEY);

app.post('/api/payment', async (req, res) => {
  // req.body.token is a Stripe token, not card data
  const charge = await stripe.charges.create({
    amount: 9999, // in cents
    currency: 'usd',
    source: req.body.token, // Token, not card
    metadata: {
      order_id: req.body.orderId,
      user_id: req.user.id
    }
  });
  
  // Log transaction (NO card data logged)
  auditLog.record({
    action: 'PAYMENT',
    user_id: req.user.id,
    amount: 9999,
    charge_id: charge.id,
    timestamp: new Date()
  });
  
  res.json({ success: true, charge_id: charge.id });
});

What NOT to Do (PCI Violations)

// ❌ DO NOT store card data
app.post('/api/payment', async (req, res) => {
  await db.payment.create({
    cardNumber: req.body.cardNumber, // ❌ VIOLATION
    cvv: req.body.cvv, // ❌ VIOLATION
    expiryDate: req.body.expiryDate // ❌ VIOLATION
  });
});

// ❌ DO NOT log card data
logger.info(`Payment for user ${userId} with card ${cardNumber}`); // ❌ VIOLATION

// ❌ DO NOT send card data over HTTP
app.post('http://api.example.com/payment', { cardNumber: '...' }); // ❌ VIOLATION (HTTP not HTTPS)

---

Compliance Audit Checklist

Pre-Audit Preparation

• Data classification complete (mark all fields as PII, PHI, payment data, etc.)
• Audit logging implemented (immutable, tamper-proof, all access logged)
• Encryption enabled (at rest: database; in transit: TLS 1.2+)
• Access control implemented (RBAC, MFA for admin, session management)
• Backup & recovery tested (RTO/RPO documented, restore tested)
• Incident response plan documented (runbooks, on-call escalation, notification procedures)
• Data retention policies defined (how long to keep what data)
• Vendor/third-party BAAs in place (if using cloud services)
• Vulnerability scanning automated (SAST, dependency scanning)
• Penetration testing scheduled (annual for most frameworks)

Evidence Collection

For each control, prepare evidence:

• Code: GitHub links to implementation (e.g., encryption middleware)
• Configuration: Screenshots of security settings (e.g., TLS version, MFA)
• Logs: Sample audit logs showing access control in action
• Policies: Document data classification, retention, incident response
• Test Results: Vulnerability scans, penetration test reports

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Multi-Framework Compliance

HIPAA + GDPR

Both require strong encryption, audit logging, and user data rights. Overlap on:

• Encryption at rest and in transit
• User right to access their data
• Audit trail of all access

Difference: HIPAA focuses on healthcare industry; GDPR applies to EU personal data globally.

SOC2 + PCI DSS

SOC2 is a trust framework (controls and processes); PCI DSS is payment-specific.

SOC2 covers: Security, availability, confidentiality, integrity, privacy
PCI DSS covers: Only payment card data

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Compliance Scoring

Control Assessment Matrix

Status	Definition	Action
Implemented	Control is coded, tested, documented	✅ Ready for audit
Partial	Control exists but has gaps (e.g., encryption on some fields, not all)	⚠️ Remediate gaps
Missing	Control not implemented	🔴 Must implement before audit
Not Applicable	Control doesn't apply to your product	ℹ️ Document why (e.g., no payment processing → PCI not applicable)

Gap Scoring

Critical (Must Fix Before Production):

• No encryption in transit (HTTP instead of HTTPS)
• No authentication on sensitive endpoints
• Credentials hardcoded or in logs
• Direct database access from frontend

High (Must Fix Before Audit):

• Audit logging not comprehensive
• Data retention policy undefined
• Backup testing not documented
• No incident response plan

Medium (Should Fix):

• Some fields not encrypted at rest
• Rate limiting missing
• Monitoring gaps

Low (Nice to Have):

• Enhanced monitoring and alerting
• Additional redundancy (multi-AZ, failover)
• Advanced threat detection