Comprehensive compliance guide for BroxiAI applications covering GDPR, HIPAA, SOC 2, and industry standards
Ensure your BroxiAI applications meet regulatory requirements and industry standards with comprehensive compliance guidance and implementation strategies.
Compliance Overview
Supported Compliance Frameworks
Data Protection Regulations
GDPR (General Data Protection Regulation) - EU
CCPA (California Consumer Privacy Act) - California, US
LGPD (Lei Geral de Proteção de Dados) - Brazil
PIPEDA (Personal Information Protection and Electronic Documents Act) - Canada
Healthcare Compliance
HIPAA (Health Insurance Portability and Accountability Act) - US Healthcare
HITECH (Health Information Technology for Economic and Clinical Health Act)
FDA (Food and Drug Administration) - Medical device software
ISO 27799 - Health informatics security management
Financial Services
SOX (Sarbanes-Oxley Act) - Financial reporting
PCI DSS (Payment Card Industry Data Security Standard)
GLBA (Gramm-Leach-Bliley Act) - Financial privacy
Basel III - Banking regulations
Industry Standards
SOC 2 (Service Organization Control 2) - Security controls
Compliance is an ongoing process, not a one-time achievement. Regular monitoring, assessment, and improvement are essential for maintaining regulatory compliance and protecting your organization and customers.
GDPR Principles:
Lawfulness: "Data processing must have legal basis"
Fairness: "Processing must not adversely affect data subjects"
Transparency: "Clear information about data processing"
Purpose Limitation: "Data used only for specified purposes"
Data Minimization: "Collect only necessary data"
Accuracy: "Keep data accurate and up to date"
Storage Limitation: "Retain data only as long as necessary"
Integrity and Confidentiality: "Ensure data security"
Accountability: "Demonstrate compliance"
class GDPRComplianceManager:
def __init__(self):
self.data_processor = DataProcessor()
self.consent_manager = ConsentManager()
self.retention_manager = RetentionManager()
def process_user_data(self, user_data, purpose, legal_basis):
"""Process user data with GDPR compliance"""
# Validate legal basis
if not self.validate_legal_basis(legal_basis, purpose):
raise GDPRError("Invalid legal basis for data processing")
# Check data minimization
minimized_data = self.minimize_data(user_data, purpose)
# Process with purpose limitation
result = self.data_processor.process(
data=minimized_data,
purpose=purpose,
retention_period=self.get_retention_period(purpose)
)
# Log processing activity
self.log_processing_activity(user_data, purpose, legal_basis)
return result
def handle_data_subject_request(self, request_type, user_id):
"""Handle GDPR data subject requests"""
handlers = {
"access": self.handle_access_request,
"rectification": self.handle_rectification_request,
"erasure": self.handle_erasure_request,
"portability": self.handle_portability_request,
"objection": self.handle_objection_request,
"restriction": self.handle_restriction_request
}
if request_type not in handlers:
raise ValueError(f"Unsupported request type: {request_type}")
return handlers[request_type](user_id)
def handle_access_request(self, user_id):
"""Provide user with their personal data (Right of Access)"""
user_data = {
"personal_information": self.get_personal_data(user_id),
"processing_activities": self.get_processing_history(user_id),
"data_sources": self.get_data_sources(user_id),
"retention_periods": self.get_retention_info(user_id),
"third_party_sharing": self.get_sharing_info(user_id)
}
# Format data for user consumption
return self.format_access_response(user_data)
def handle_erasure_request(self, user_id):
"""Delete user data (Right to be Forgotten)"""
# Check if erasure is permitted
if not self.can_erase_data(user_id):
return {
"status": "denied",
"reason": "Legal obligation or legitimate interest"
}
# Perform data erasure
deleted_data = {
"personal_data": self.delete_personal_data(user_id),
"derived_data": self.delete_derived_data(user_id),
"backups": self.mark_for_backup_deletion(user_id),
"third_parties": self.notify_third_party_deletion(user_id)
}
return {
"status": "completed",
"deleted_data": deleted_data,
"completion_date": datetime.utcnow()
}
class ConsentManager {
constructor() {
this.consentTypes = {
necessary: { required: true, description: "Essential for service operation" },
analytics: { required: false, description: "Help us improve our service" },
marketing: { required: false, description: "Personalized marketing communications" },
personalization: { required: false, description: "Customize your experience" }
};
}
collectConsent(userId, consentData) {
// Validate consent requirements
const validConsent = this.validateConsent(consentData);
if (!validConsent.isValid) {
throw new Error(`Invalid consent: ${validConsent.errors.join(', ')}`);
}
// Store consent with timestamp and proof
const consentRecord = {
userId: userId,
timestamp: new Date().toISOString(),
consents: consentData,
ipAddress: this.getClientIP(),
userAgent: this.getUserAgent(),
consentMethod: consentData.method, // click, form, api
version: this.getCurrentPrivacyPolicyVersion()
};
return this.storeConsent(consentRecord);
}
withdrawConsent(userId, consentType) {
// Record consent withdrawal
const withdrawalRecord = {
userId: userId,
timestamp: new Date().toISOString(),
consentType: consentType,
action: 'withdraw',
effectiveDate: new Date().toISOString()
};
// Stop processing based on withdrawn consent
this.stopProcessing(userId, consentType);
return this.storeConsentWithdrawal(withdrawalRecord);
}
validateConsent(consentData) {
const errors = [];
// Check required consents
for (const [type, config] of Object.entries(this.consentTypes)) {
if (config.required && !consentData[type]) {
errors.push(`${type} consent is required`);
}
}
// Validate consent granularity
if (!this.hasGranularConsent(consentData)) {
errors.push("Consent must be granular and specific");
}
// Check for valid consent indicators
if (!this.hasValidConsentIndicators(consentData)) {
errors.push("Consent must be freely given, specific, informed, and unambiguous");
}
return {
isValid: errors.length === 0,
errors: errors
};
}
}
class HIPAAComplianceManager:
def __init__(self):
self.phi_detector = PHIDetector()
self.encryption_manager = EncryptionManager()
self.audit_logger = AuditLogger()
self.access_control = AccessControl()
def process_healthcare_data(self, data, user_context):
"""Process healthcare data with HIPAA compliance"""
# Detect PHI in data
phi_elements = self.phi_detector.detect_phi(data)
if phi_elements:
# Apply minimum necessary standard
filtered_data = self.apply_minimum_necessary(data, user_context)
# Encrypt PHI
encrypted_data = self.encryption_manager.encrypt_phi(filtered_data)
# Log access
self.audit_logger.log_phi_access(
user=user_context["user_id"],
data_accessed=phi_elements,
purpose=user_context["purpose"],
timestamp=datetime.utcnow()
)
return encrypted_data
return data
def create_baa_compliance_check(self, vendor_info):
"""Verify Business Associate Agreement compliance"""
required_safeguards = [
"administrative_safeguards",
"physical_safeguards",
"technical_safeguards"
]
compliance_status = {}
for safeguard in required_safeguards:
compliance_status[safeguard] = self.verify_safeguard(
vendor_info, safeguard
)
return {
"vendor": vendor_info["name"],
"compliance_status": compliance_status,
"overall_compliant": all(compliance_status.values()),
"assessment_date": datetime.utcnow()
}
class PHIDetector:
def __init__(self):
self.phi_patterns = {
"ssn": r"\b\d{3}-\d{2}-\d{4}\b",
"phone": r"\b\d{3}-\d{3}-\d{4}\b",
"email": r"\b[A-Za-z0-9._%+-]+@[A-Za-z0-9.-]+\.[A-Z|a-z]{2,}\b",
"medical_record_number": r"\bMRN\s*:?\s*\d+\b",
"date_of_birth": r"\b\d{1,2}/\d{1,2}/\d{4}\b"
}
def detect_phi(self, text):
"""Detect Protected Health Information in text"""
detected_phi = []
for phi_type, pattern in self.phi_patterns.items():
matches = re.findall(pattern, text, re.IGNORECASE)
if matches:
detected_phi.extend([{
"type": phi_type,
"value": match,
"confidence": self.calculate_confidence(phi_type, match)
} for match in matches])
return detected_phi
def anonymize_phi(self, text, anonymization_method="hash"):
"""Anonymize detected PHI"""
phi_elements = self.detect_phi(text)
anonymized_text = text
for phi in phi_elements:
if anonymization_method == "hash":
replacement = hashlib.sha256(phi["value"].encode()).hexdigest()[:8]
elif anonymization_method == "redact":
replacement = "[REDACTED]"
elif anonymization_method == "synthetic":
replacement = self.generate_synthetic_value(phi["type"])
anonymized_text = anonymized_text.replace(phi["value"], replacement)
return anonymized_text, phi_elements
class HIPAAAccessControl:
def __init__(self):
self.access_matrix = {}
self.session_manager = SessionManager()
self.audit_logger = AuditLogger()
def authenticate_user(self, credentials):
"""Implement strong authentication for HIPAA compliance"""
# Multi-factor authentication required
if not self.verify_mfa(credentials):
raise AuthenticationError("MFA required for PHI access")
# Role-based access control
user_role = self.get_user_role(credentials["user_id"])
permitted_actions = self.get_permitted_actions(user_role)
# Create secure session
session = self.session_manager.create_session(
user_id=credentials["user_id"],
role=user_role,
permissions=permitted_actions,
expiry=timedelta(hours=4) # Automatic logoff
)
# Log authentication
self.audit_logger.log_authentication(
user_id=credentials["user_id"],
timestamp=datetime.utcnow(),
success=True,
ip_address=credentials["ip_address"]
)
return session
def authorize_phi_access(self, session, phi_request):
"""Authorize access to PHI based on minimum necessary standard"""
# Verify session validity
if not self.session_manager.is_valid(session):
raise AuthorizationError("Invalid or expired session")
# Check minimum necessary
if not self.meets_minimum_necessary(session, phi_request):
self.audit_logger.log_access_denial(
user_id=session["user_id"],
requested_data=phi_request["data_type"],
reason="Does not meet minimum necessary standard"
)
raise AuthorizationError("Access denied: minimum necessary standard")
# Log authorized access
self.audit_logger.log_phi_access(
user_id=session["user_id"],
data_accessed=phi_request["data_type"],
purpose=phi_request["purpose"],
timestamp=datetime.utcnow()
)
return True
SOC 2 Trust Principles:
Security:
- Access controls and authentication
- Logical and physical security
- System monitoring and incident response
- Change management procedures
Availability:
- System uptime and performance monitoring
- Disaster recovery and business continuity
- Capacity planning and scaling
- Vendor management and dependencies
Processing Integrity:
- Data validation and error handling
- System processing controls
- Input completeness and accuracy
- Output review and approval
Confidentiality:
- Data classification and handling
- Encryption and key management
- Confidentiality agreements
- Secure disposal procedures
Privacy:
- Privacy notice and consent
- Data collection and usage limitations
- Data subject rights implementation
- Privacy impact assessments
