# Story 3.4a: Compliance Plugins & Validation Framework

## Status: Planned

## Priority: High

## Estimated Effort: Large (1 week+)

## Dependencies: None

## Epic / Series

Part of Epic 3: Plugin Ecosystem Foundation / Series 3.x

---

## Context / Background

Enterprise stakeholders need compliance-focused plugins and a validation framework to meet PCI-DSS, HIPAA, and SOX requirements. This enables enterprise adoption while keeping compliance features as plugins rather than core.

---

## User Story

**As an** enterprise stakeholder  
**I want** compliance-focused plugins and a validation framework  
**So that** we meet PCI-DSS, HIPAA, and SOX requirements

---

## Scope (In / Out)

### In Scope

- Initial compliance plugins (PCI-DSS, HIPAA, SOX) skeletons and guidance
- Automated compliance validation steps (checklist + hooks)
- Enterprise testing framework for compliance verification
- Documentation for compliance setup and audits

### Out of Scope

- Full compliance certification (that's user responsibility)
- Legal compliance guarantees
- Real-time compliance monitoring (covered in audit stories)

---

## Acceptance Criteria

### AC1: Compliance Plugin Interfaces

- [ ] Define compliance plugin interfaces and policies
- [ ] Standardize validation categories and result schema
- [ ] Initial plugin skeletons for PCI-DSS, HIPAA, SOX
- [ ] Clear plugin development guidance

### AC2: Validation Framework

- [ ] Implement validation hooks and report formats
- [ ] Machine-readable report format (JSON)
- [ ] Human-readable report format
- [ ] Integration with plugin system

### AC3: Testing Framework

- [ ] Enterprise testing framework for compliance verification
- [ ] Test fixtures for compliance scenarios
- [ ] Validation test utilities
- [ ] Documentation for writing compliance tests

### AC4: Documentation

- [ ] Documentation for compliance setup
- [ ] Documentation for audits
- [ ] Compliance plugin development guide
- [ ] Examples and tutorials

---

## Technical Design / Implementation Notes

### Compliance Plugin Interface

```python
class CompliancePlugin(Protocol):
    """Protocol for compliance validation plugins."""
    
    name: str
    standard: str  # "PCI-DSS", "HIPAA", "SOX", etc.
    
    async def validate(self, config: dict) -> ComplianceResult:
        """Validate configuration against compliance standard."""
        ...
    
    async def generate_report(self) -> ComplianceReport:
        """Generate compliance report."""
        ...
```

### Validation Result Schema

```python
class ComplianceResult(BaseModel):
    """Result of compliance validation."""
    standard: str
    passed: bool
    checks: list[ComplianceCheck]
    timestamp: datetime

class ComplianceCheck(BaseModel):
    """Individual compliance check result."""
    name: str
    passed: bool
    severity: str  # "critical", "high", "medium", "low"
    message: str
    remediation: str | None = None
```

---

## Tasks

### Phase 1: Framework Design
- [ ] Design compliance plugin interface
- [ ] Design validation result schema
- [ ] Design report formats
- [ ] Review with compliance experts

### Phase 2: Implementation
- [ ] Implement validation framework
- [ ] Implement report generation
- [ ] Create plugin skeletons
- [ ] Add testing framework

### Phase 3: Plugins
- [ ] PCI-DSS plugin skeleton
- [ ] HIPAA plugin skeleton
- [ ] SOX plugin skeleton
- [ ] Example implementations

### Phase 4: Documentation
- [ ] Compliance setup guide
- [ ] Audit documentation
- [ ] Plugin development guide
- [ ] Examples and tutorials

---

## Tests

### Unit Tests

- [ ] Validation framework tests
- [ ] Report generation tests
- [ ] Plugin interface tests
- [ ] Compliance check tests

### Integration Tests

- [ ] Full compliance validation workflow
- [ ] Marketplace integration
- [ ] Report generation end-to-end

---

## Documentation Updates

- [ ] Compliance setup guide
- [ ] Audit documentation
- [ ] Plugin development guide
- [ ] Marketplace documentation

---

## Definition of Done

Story is complete when ALL of the following are true:

### Code Complete
- [ ] All acceptance criteria met and verified
- [ ] All tasks completed
- [ ] Code follows project style guide
- [ ] No linting errors or warnings
- [ ] Type checking passes (mypy strict)

### Quality Assurance
- [ ] Unit tests: >90% coverage of new code
- [ ] Integration tests: all scenarios passing
- [ ] Regression tests: no existing functionality broken
- [ ] Performance tests: no regression vs baseline
- [ ] Manual testing completed (if applicable)

### Documentation
- [ ] User-facing docs updated
- [ ] API reference updated (if applicable)
- [ ] Code examples added/updated
- [ ] CHANGELOG.md updated
- [ ] Inline code documentation complete

### Review & Release
- [ ] Code review approved
- [ ] Documentation reviewed for clarity
- [ ] CI/CD pipeline passing
- [ ] Ready for merge to main branch

### Backwards Compatibility
- [ ] No breaking changes OR breaking changes documented with migration guide
- [ ] Existing tests still pass
- [ ] Deprecation warnings added (if applicable)

---

## Risks / Rollback / Monitoring

### Risks

- **Risk:** Compliance requirements change
  - **Mitigation:** Keep framework flexible, plugins handle specifics

- **Risk:** Legal liability from compliance claims
  - **Mitigation:** Clear disclaimers, plugins are tools not guarantees

---

## Related Documents

- [Epic 3: Plugin Ecosystem Foundation](../prd/epic-3-plugin-ecosystem-foundation.md)
- [Story 3.4b: Enterprise Platform Integrations](./3.4b.enterprise-platform-integrations.md)

---

## Change Log

| Date       | Change                    | Author |
| ---------- | ------------------------- | ------ |
| 2025-01-10 | Initial story creation    | System |
