# Compliance and Governance Framework

Comprehensive compliance and governance capabilities for regulated industries and enterprise requirements.

## Compliance Overview

**Kaizen provides enterprise-grade compliance** for regulated industries:

1. **GDPR Compliance**: EU General Data Protection Regulation
2. **HIPAA Compliance**: Healthcare data protection
3. **SOC 2 Compliance**: Security and availability controls
4. **Financial Services**: Banking and financial regulations
5. **Government**: FedRAMP and government security standards

**Current Status**:
- ✅ **Foundation**: Basic compliance patterns and data handling
- 🟡 **GDPR**: Data protection and privacy rights (planned)
- 🟡 **HIPAA**: Healthcare data protection (planned)
- 🟡 **SOC 2**: Security controls and auditing (planned)

## GDPR Compliance

### Data Protection Framework (Planned)

```python
# Future GDPR compliance configuration
gdpr_config = {
    'enabled': True,
    'data_controller': 'Company Name',
    'dpo_contact': 'dpo@company.com',
    'privacy_policy_url': 'https://company.com/privacy',

    'principles': {
        'lawfulness': True,
        'purpose_limitation': True,
        'data_minimization': True,
        'accuracy': True,
        'storage_limitation': True,
        'integrity_confidentiality': True,
        'accountability': True
    },

    'rights': {
        'access': True,          # Article 15
        'rectification': True,   # Article 16
        'erasure': True,         # Article 17
        'restriction': True,     # Article 18
        'portability': True,     # Article 20
        'objection': True        # Article 21
    },

    'breach_notification': {
        'enabled': True,
        'authority_deadline': '72h',
        'subject_deadline': '72h',
        'severity_threshold': 'high'
    }
}

# GDPR-compliant agent configuration
gdpr_agent = kaizen.create_agent("gdpr_processor", {
    "model": "gpt-4",
    "gdpr_config": gdpr_config,
    "data_processing_basis": "consent",  # or "legitimate_interest", etc.
    "processing_purpose": "customer_service",
    "data_retention_period": "2y",
    "anonymization_enabled": True
})
```

### Data Subject Rights Implementation (Planned)

```python
# Future GDPR rights management
class GDPRRightsManager:
    """Implement GDPR data subject rights."""

    def __init__(self, config):
        self.config = config
        self.audit_logger = AuditLogger()

    def handle_access_request(self, user_id: str, request_id: str) -> Dict:
        """Article 15: Right of access by the data subject."""
        self.audit_logger.log_rights_request('access', user_id, request_id)

        # Gather all personal data
        personal_data = {
            'agent_interactions': self.get_agent_interactions(user_id),
            'workflow_executions': self.get_workflow_data(user_id),
            'preferences': self.get_user_preferences(user_id),
            'audit_logs': self.get_audit_logs(user_id)
        }

        # Export in machine-readable format
        export_data = self.format_for_export(personal_data)

        self.audit_logger.log_rights_fulfillment('access', user_id, request_id)
        return export_data

    def handle_erasure_request(self, user_id: str, request_id: str) -> bool:
        """Article 17: Right to erasure ('right to be forgotten')."""
        self.audit_logger.log_rights_request('erasure', user_id, request_id)

        # Check for legal obligations that prevent erasure
        if self.has_legal_obligations(user_id):
            self.audit_logger.log_rights_denial('erasure', user_id, request_id, 'legal_obligation')
            return False

        # Perform secure deletion
        deletion_tasks = [
            self.delete_agent_data(user_id),
            self.delete_workflow_data(user_id),
            self.delete_preferences(user_id),
            self.anonymize_audit_logs(user_id)  # Can't delete audit logs
        ]

        all_deleted = all(deletion_tasks)

        if all_deleted:
            self.audit_logger.log_rights_fulfillment('erasure', user_id, request_id)

        return all_deleted

    def handle_portability_request(self, user_id: str, request_id: str) -> bytes:
        """Article 20: Right to data portability."""
        self.audit_logger.log_rights_request('portability', user_id, request_id)

        # Export data in structured format
        portable_data = {
            'user_profile': self.get_user_profile(user_id),
            'agent_configurations': self.get_agent_configs(user_id),
            'interaction_history': self.get_interaction_history(user_id),
            'preferences': self.get_preferences(user_id)
        }

        # Convert to standard format (JSON)
        export_json = json.dumps(portable_data, indent=2)

        self.audit_logger.log_rights_fulfillment('portability', user_id, request_id)
        return export_json.encode('utf-8')
```

## HIPAA Compliance

### Healthcare Data Protection (Planned)

```python
# Future HIPAA compliance configuration
hipaa_config = {
    'enabled': True,
    'covered_entity': 'Healthcare Organization',
    'business_associate_agreement': True,
    'privacy_officer': 'privacy@healthcare.com',

    'safeguards': {
        'administrative': {
            'assigned_security_responsibility': True,
            'workforce_training': True,
            'information_access_management': True,
            'security_awareness': True,
            'security_incident_procedures': True,
            'contingency_plan': True,
            'periodic_evaluation': True
        },

        'physical': {
            'facility_access_controls': True,
            'workstation_use': True,
            'device_controls': True
        },

        'technical': {
            'access_control': True,
            'audit_controls': True,
            'integrity': True,
            'person_authentication': True,
            'transmission_security': True
        }
    },

    'phi_handling': {
        'encryption_required': True,
        'access_logging': True,
        'minimum_necessary': True,
        'breach_notification': True
    }
}

# HIPAA-compliant healthcare agent
healthcare_agent = kaizen.create_agent("medical_assistant", {
    "model": "gpt-4",
    "hipaa_config": hipaa_config,
    "phi_detection": True,
    "de_identification": True,
    "audit_level": "comprehensive"
})
```

### PHI Protection Implementation (Planned)

```python
# Future PHI protection system
class PHIProtectionSystem:
    """Protected Health Information protection system."""

    def __init__(self, config):
        self.config = config
        self.phi_detector = PHIDetector()
        self.de_identifier = DeIdentifier()
        self.audit_logger = HIPAAAuditLogger()

    def process_with_phi_protection(self, agent, inputs):
        """Process inputs with PHI protection."""
        # Detect PHI in inputs
        phi_detected = self.phi_detector.scan(inputs)

        if phi_detected:
            self.audit_logger.log_phi_access(
                user_id=inputs.get('user_id'),
                phi_types=phi_detected.types,
                access_reason=inputs.get('access_reason'),
                minimum_necessary=True
            )

            # Apply minimum necessary standard
            filtered_inputs = self.apply_minimum_necessary(inputs, phi_detected)

            # De-identify if required
            if self.config['de_identification_required']:
                filtered_inputs = self.de_identifier.process(filtered_inputs)
        else:
            filtered_inputs = inputs

        # Execute with protected inputs
        results = agent.execute(filtered_inputs)

        # Scan outputs for PHI
        output_phi = self.phi_detector.scan(results)
        if output_phi:
            self.audit_logger.log_phi_disclosure(
                phi_types=output_phi.types,
                recipient=inputs.get('user_id'),
                disclosure_reason='treatment'
            )

        return results

    def generate_hipaa_audit_log(self, time_range):
        """Generate HIPAA-compliant audit log."""
        return {
            'audit_period': time_range,
            'covered_entity': self.config['covered_entity'],
            'events': [
                {
                    'timestamp': event.timestamp,
                    'user_id': event.user_id,
                    'action': event.action,
                    'phi_accessed': event.phi_types,
                    'access_reason': event.reason,
                    'outcome': event.outcome
                }
                for event in self.audit_logger.get_events(time_range)
            ]
        }
```

## SOC 2 Compliance

### Trust Service Criteria Implementation (Planned)

```python
# Future SOC 2 compliance framework
soc2_config = {
    'enabled': True,
    'service_organization': 'Kaizen AI Services',
    'system_description': 'AI Agent Management Platform',

    'trust_service_criteria': {
        'security': {
            'CC1.0': 'Control Environment',
            'CC2.0': 'Communication and Information',
            'CC3.0': 'Risk Assessment',
            'CC4.0': 'Monitoring Activities',
            'CC5.0': 'Control Activities',
            'CC6.0': 'Logical and Physical Access Controls',
            'CC7.0': 'System Operations',
            'CC8.0': 'Change Management',
            'CC9.0': 'Risk Mitigation'
        },

        'availability': {
            'A1.0': 'System Availability',
            'A2.0': 'Recovery Objectives',
            'A3.0': 'Monitoring and Maintenance'
        },

        'processing_integrity': {
            'PI1.0': 'Processing Integrity',
            'PI2.0': 'Data Quality',
            'PI3.0': 'Authorized Processing'
        },

        'confidentiality': {
            'C1.0': 'Confidentiality Commitments',
            'C2.0': 'Information Classification',
            'C3.0': 'Access Restrictions'
        },

        'privacy': {
            'P1.0': 'Privacy Notice',
            'P2.0': 'Choice and Consent',
            'P3.0': 'Collection',
            'P4.0': 'Use and Retention',
            'P5.0': 'Access',
            'P6.0': 'Disclosure',
            'P7.0': 'Data Quality',
            'P8.0': 'Monitoring and Enforcement'
        }
    }
}

# SOC 2 compliance monitoring
class SOC2ComplianceMonitor:
    """Monitor SOC 2 compliance requirements."""

    def __init__(self, config):
        self.config = config
        self.control_monitor = ControlMonitor()

    def evaluate_security_controls(self):
        """Evaluate security control effectiveness."""
        controls = {
            'CC6.1': self.evaluate_logical_access(),
            'CC6.2': self.evaluate_authentication(),
            'CC6.3': self.evaluate_authorization(),
            'CC6.7': self.evaluate_data_transmission(),
            'CC6.8': self.evaluate_data_disposal()
        }

        return {
            'evaluation_date': datetime.now(),
            'controls': controls,
            'overall_rating': self.calculate_overall_rating(controls)
        }

    def evaluate_availability_controls(self):
        """Evaluate availability control effectiveness."""
        return {
            'A1.1': self.evaluate_capacity_planning(),
            'A1.2': self.evaluate_system_monitoring(),
            'A1.3': self.evaluate_incident_response()
        }

    def generate_soc2_report(self):
        """Generate SOC 2 compliance report."""
        return {
            'report_period': self.get_report_period(),
            'service_organization': self.config['service_organization'],
            'system_description': self.config['system_description'],
            'trust_service_criteria': {
                'security': self.evaluate_security_controls(),
                'availability': self.evaluate_availability_controls(),
                'processing_integrity': self.evaluate_processing_integrity(),
                'confidentiality': self.evaluate_confidentiality(),
                'privacy': self.evaluate_privacy()
            },
            'control_deficiencies': self.identify_deficiencies(),
            'management_response': self.get_management_response()
        }
```

## Financial Services Compliance

### Financial Regulations (Planned)

```python
# Future financial services compliance
financial_compliance_config = {
    'regulations': {
        'pci_dss': {
            'enabled': True,
            'merchant_level': '1',
            'requirements': [
                'install_maintain_firewall',
                'change_default_passwords',
                'protect_cardholder_data',
                'encrypt_transmission',
                'use_antivirus',
                'develop_maintain_secure_systems',
                'restrict_access_cardholder_data',
                'assign_unique_id',
                'restrict_physical_access',
                'track_monitor_access',
                'regularly_test_security',
                'maintain_information_security'
            ]
        },

        'basel_iii': {
            'enabled': True,
            'capital_requirements': True,
            'liquidity_requirements': True,
            'leverage_ratio': True,
            'risk_management': True
        },

        'mifid_ii': {
            'enabled': True,
            'best_execution': True,
            'transaction_reporting': True,
            'investor_protection': True,
            'market_transparency': True
        }
    },

    'risk_management': {
        'model_risk': True,
        'operational_risk': True,
        'credit_risk': True,
        'market_risk': True,
        'liquidity_risk': True
    }
}

# Financial services compliant agent
financial_agent = kaizen.create_agent("financial_advisor", {
    "model": "gpt-4",
    "compliance_config": financial_compliance_config,
    "regulatory_oversight": True,
    "model_validation": True,
    "risk_controls": True
})
```

## Government and Defense

### FedRAMP Compliance (Planned)

```python
# Future FedRAMP compliance configuration
fedramp_config = {
    'authorization_level': 'moderate',  # low, moderate, high
    'cloud_service_model': 'saas',
    'deployment_model': 'public_cloud',

    'security_controls': {
        'ac': 'access_control',
        'at': 'awareness_training',
        'au': 'audit_accountability',
        'ca': 'security_assessment',
        'cm': 'configuration_management',
        'cp': 'contingency_planning',
        'ia': 'identification_authentication',
        'ir': 'incident_response',
        'ma': 'maintenance',
        'mp': 'media_protection',
        'pe': 'physical_environmental',
        'pl': 'planning',
        'ps': 'personnel_security',
        'ra': 'risk_assessment',
        'sa': 'system_services_acquisition',
        'sc': 'system_communications',
        'si': 'system_information_integrity'
    },

    'continuous_monitoring': {
        'enabled': True,
        'assessment_frequency': 'monthly',
        'vulnerability_scanning': 'weekly',
        'penetration_testing': 'annually'
    }
}

# Government-compliant agent
government_agent = kaizen.create_agent("gov_assistant", {
    "model": "gpt-4",
    "fedramp_config": fedramp_config,
    "classification_handling": True,
    "itar_compliance": True,
    "continuous_monitoring": True
})
```

## Compliance Automation

### Automated Compliance Checking (Planned)

```python
# Future compliance automation
class ComplianceAutomation:
    """Automated compliance checking and reporting."""

    def __init__(self, regulations):
        self.regulations = regulations
        self.checkers = self.initialize_checkers()

    def run_compliance_check(self, scope='all'):
        """Run automated compliance checks."""
        results = {}

        for regulation in self.regulations:
            if scope == 'all' or regulation in scope:
                checker = self.checkers[regulation]
                results[regulation] = checker.check_compliance()

        return {
            'check_date': datetime.now(),
            'scope': scope,
            'results': results,
            'overall_compliance': self.calculate_overall_compliance(results)
        }

    def generate_compliance_dashboard(self):
        """Generate real-time compliance dashboard."""
        return {
            'gdpr': {
                'status': 'compliant',
                'last_check': '2024-01-15T10:00:00Z',
                'score': 95,
                'issues': []
            },
            'hipaa': {
                'status': 'compliant',
                'last_check': '2024-01-15T10:00:00Z',
                'score': 98,
                'issues': []
            },
            'soc2': {
                'status': 'partial',
                'last_check': '2024-01-15T10:00:00Z',
                'score': 87,
                'issues': [
                    'CC6.2: Authentication controls need strengthening'
                ]
            }
        }

    def schedule_compliance_reports(self):
        """Schedule automated compliance reporting."""
        schedules = {
            'daily': ['security_monitoring', 'access_logs'],
            'weekly': ['vulnerability_assessment', 'risk_review'],
            'monthly': ['compliance_dashboard', 'audit_preparation'],
            'quarterly': ['full_compliance_review', 'management_report'],
            'annually': ['external_audit', 'certification_renewal']
        }

        return schedules
```

### Compliance Documentation Generation (Planned)

```python
# Future automated documentation
class ComplianceDocumentationGenerator:
    """Generate compliance documentation automatically."""

    def generate_privacy_policy(self, config):
        """Generate GDPR-compliant privacy policy."""
        template = self.load_template('privacy_policy_gdpr')

        return template.format(
            company_name=config['company_name'],
            data_controller=config['data_controller'],
            dpo_contact=config['dpo_contact'],
            processing_purposes=config['processing_purposes'],
            legal_basis=config['legal_basis'],
            retention_periods=config['retention_periods'],
            third_parties=config['third_parties']
        )

    def generate_hipaa_policies(self, config):
        """Generate HIPAA compliance policies."""
        policies = {}

        policies['privacy_policy'] = self.generate_hipaa_privacy_policy(config)
        policies['security_policy'] = self.generate_hipaa_security_policy(config)
        policies['breach_response'] = self.generate_breach_response_plan(config)
        policies['workforce_training'] = self.generate_training_materials(config)

        return policies

    def generate_soc2_documentation(self, config):
        """Generate SOC 2 compliance documentation."""
        return {
            'system_description': self.generate_system_description(config),
            'control_descriptions': self.generate_control_descriptions(config),
            'risk_assessment': self.generate_risk_assessment(config),
            'monitoring_procedures': self.generate_monitoring_procedures(config)
        }
```

## Implementation Roadmap

### Phase 1: Compliance Foundation (4-6 weeks)
- ✅ Basic data protection patterns
- ✅ Audit logging framework
- ✅ Security baseline implementation
- 🟡 Compliance configuration structure

### Phase 2: GDPR Implementation (6-8 weeks)
- 🟡 Data subject rights implementation
- 🟡 Privacy by design patterns
- 🟡 Consent management system
- 🟡 Breach notification automation

### Phase 3: HIPAA and SOC 2 (8-10 weeks)
- 🟡 PHI protection system
- 🟡 Healthcare audit trails
- 🟡 SOC 2 control implementation
- 🟡 Continuous monitoring system

### Phase 4: Advanced Compliance (10-14 weeks)
- 🟡 Financial services regulations
- 🟡 Government/defense compliance
- 🟡 Automated compliance checking
- 🟡 Compliance documentation generation

---

**⚖️ Compliance Framework Established**: This comprehensive compliance guide provides the foundation for meeting regulatory requirements across multiple industries. Implementation will be phased based on specific regulatory needs and business requirements.