Compliance Blueprints

This document describes how ConnectSoft's architecture and processes support compliance requirements including SOC2, GDPR, and HIPAA-style controls. It is written for compliance officers, security teams, architects, and customers evaluating ConnectSoft's compliance readiness.

ConnectSoft's architecture is designed with compliance in mind, enabling "compliance-ready by design" rather than retrofitting compliance controls. This document maps architectural features and processes to compliance requirements.

Important

Compliance-Ready by Design: ConnectSoft aims for "compliance-ready by design" but references certifications only when truly achieved. Design is influenced by practices compatible with frameworks like SOC2, GDPR, HIPAA, but we do not claim actual certification unless specifically stated elsewhere.

Compliance-by-Design Philosophy

SOC2 Trust Principles

ConnectSoft's architecture supports SOC2 trust principles:

Security:

• Access controls, authentication, authorization
• Encryption at rest and in transit
• Network security and firewalls
• Vulnerability management

Availability:

• System uptime and performance monitoring
• Incident response and business continuity
• Capacity planning and scaling
• Health checks and monitoring

Processing Integrity:

• Data processing accuracy and completeness
• Input validation and error handling
• Audit trails and logging
• Transaction integrity

Confidentiality:

• Data classification and handling
• Encryption and access controls
• Data retention and disposal
• Confidentiality agreements

Privacy (Optional):

• Data collection and use limitations
• Data subject rights (access, deletion, correction)
• Data retention and disposal
• Privacy notice and consent

GDPR Principles

ConnectSoft's architecture supports GDPR requirements:

Lawfulness, Fairness, and Transparency:

• Clear privacy notices
• Lawful basis for processing
• Transparent data processing

Purpose Limitation:

• Data collected for specific purposes
• Purpose documented and limited
• No processing beyond stated purpose

Data Minimization:

• Collect only necessary data
• Data minimization in design
• Regular data reviews and cleanup

Accuracy:

• Data accuracy maintained
• Data correction mechanisms
• Data validation and verification

Storage Limitation:

• Data retained only as long as necessary
• Retention policies and automated deletion
• Legal hold capabilities

Integrity and Confidentiality:

• Data security and protection
• Encryption and access controls
• Data breach prevention and response

Accountability:

• Data processing records
• Audit trails and logging
• Compliance documentation

HIPAA-Like Controls

For health and insurance-related workloads, ConnectSoft supports HIPAA-like controls:

Administrative Safeguards:

• Security management process
• Assigned security responsibility
• Workforce security
• Information access management
• Security awareness and training

Physical Safeguards:

• Facility access controls
• Workstation use restrictions
• Device and media controls

Technical Safeguards:

• Access control (unique user identification, emergency access)
• Audit controls (activity logs)
• Integrity (data not improperly altered or destroyed)
• Transmission security (encryption in transit)

See: Security & Compliance Policy for compliance policy.

Data Classification

Classification Tiers

ConnectSoft uses a five-tier data classification system:

Classification	Description	Examples	Storage Rules	Logging/Redaction	Access Controls
Public	Publicly available information	Marketing content, public documentation	No special handling	No redaction required	Public access
Internal	Internal use only	Internal documentation, non-sensitive config	Basic encryption, access control	Basic redaction	Internal employees only
Customer Non-sensitive	Customer data, not sensitive	Product usage data, non-PII analytics	Encryption at rest, access control	PII redaction in logs	Customer and authorized staff
Customer Sensitive (PII)	Personally Identifiable Information	Names, emails, phone numbers, addresses	Strong encryption, strict access control	Full redaction in logs	Customer and authorized staff with justification
Customer Highly Sensitive	Highly sensitive data	PHI, financial data, auth credentials, SSN	Strongest encryption, strictest access control, audit logging	Full redaction, masking	Minimum necessary access, full audit trail

Classification Rules

Storage Rules:

• Public/Internal - Standard encryption, standard access controls
• Customer Non-sensitive - Encryption at rest and in transit, tenant-scoped access
• Customer Sensitive (PII) - Strong encryption, strict access controls, audit logging
• Customer Highly Sensitive - Strongest encryption, strictest access controls, mandatory audit logging, data residency considerations

Logging/Redaction Requirements:

• Public/Internal - No redaction required
• Customer Non-sensitive - PII redaction in logs
• Customer Sensitive (PII) - Full redaction in logs, error messages, and debugging output
• Customer Highly Sensitive - Full redaction, masking, and strict log access controls

Access Controls:

• Public - Public access
• Internal - Internal employees only
• Customer Non-sensitive - Customer and authorized staff
• Customer Sensitive (PII) - Customer and authorized staff with business justification
• Customer Highly Sensitive - Minimum necessary access, full audit trail, break-glass procedures

See: Security & Compliance Policy for data classification policy.

Retention & Legal Hold

Default Retention Policies

Audit Logs:

• Default: 7 years (compliance requirement)
• Configurable per product/tenant
• Immutable storage with integrity checks
• Automated deletion after retention period

Documents:

• Default: Per product/tenant configuration
• Legal documents: Extended retention (10+ years)
• Temporary documents: Short retention (30-90 days)
• Automated deletion based on retention policy

User Data:

• Active accounts: Retained while account active
• Deleted accounts: 30-day grace period, then deletion
• GDPR right to deletion: Immediate deletion (subject to legal hold)

Transaction Data:

• Financial transactions: 7+ years (regulatory requirement)
• Billing records: 7+ years
• Usage metering: Configurable (typically 2-3 years)

Chat/Conversation Data:

• Default: 90 days
• Configurable per product/tenant
• Extended retention for enterprise customers

Legal Hold Process

Legal Hold Capabilities:

• Ability to suspend deletion for specific tenants/records
• Legal hold applied to all data types (logs, documents, user data)
• Legal hold overrides retention policies
• Legal hold notifications and tracking

Legal Hold Process:

1. Legal/compliance team requests legal hold
2. Legal hold applied to specified tenants/records
3. Deletion suspended for held data
4. Legal hold tracked and documented
5. Legal hold released when no longer needed
6. Normal retention policies resume

Legal Hold Requirements:

• Legal hold must be auditable
• Legal hold must override automated deletion
• Legal hold must be reversible
• Legal hold must be documented

See: Audit Platform for audit capabilities.

See: Documents Platform for document retention.

Access Review & Least Privilege

RBAC Model

Platform Teams:

• Platform administrators (Identity, Audit, Config, Documents, Billing)
• Platform operators (deployment, monitoring, incident response)
• Platform developers (feature development, bug fixes)

Operations Teams:

• SRE/DevOps engineers (infrastructure, deployment, monitoring)
• Support engineers (customer support, troubleshooting)
• Security engineers (security monitoring, incident response)

Product Teams:

• Product managers (product planning, feature definition)
• Product developers (feature development)
• Product support (customer support for specific products)

Support Teams:

• Customer support (tier 1, tier 2)
• Technical support (escalated issues)
• Enterprise support (dedicated support for enterprise customers)

Periodic Access Reviews

Access Review Process:

• Quarterly access reviews for all roles
• Annual certification of access rights
• Access reviews documented and tracked
• Unused access revoked promptly

Access Review Scope:

• Admin roles and elevated permissions
• Support access to customer data
• Service account and API key access
• External partner and contractor access

Access Review Documentation:

• Access review results documented
• Access changes tracked in Audit Platform
• Access review certifications maintained
• Access review findings addressed

Break-Glass Procedures

Break-Glass Access:

• Temporary elevated access for emergency situations
• Requires justification and approval
• Time-limited (typically 24-48 hours)
• Full audit logging of all break-glass actions

Break-Glass Process:

1. Emergency situation identified
2. Break-glass access requested with justification
3. Access approved by authorized personnel
4. Break-glass access granted (time-limited)
5. All actions logged with break-glass flag
6. Access automatically revoked after time limit
7. Post-incident review of break-glass usage

Break-Glass Requirements:

• Break-glass access must be auditable
• Break-glass access must be time-limited
• Break-glass access must require approval
• Break-glass usage must be reviewed

See: Operations Overview for operational procedures.

See: Audit Platform for audit capabilities.

Mapping to Standards

SOC2 Mapping

Security:

• Identity Platform - Authentication, authorization, MFA, token management
• Audit Platform - Security event logging, audit trails
• Config Platform - Secure configuration management
• Documents Platform - Document encryption, access controls
• Observability Stack - Security monitoring, alerting

Availability:

• Operations - Uptime monitoring, incident response, capacity planning
• Health Checks - Service health monitoring and alerting
• Scaling Policies - Auto-scaling and capacity management
• Backup & Recovery - Data backup and disaster recovery

Processing Integrity:

• Audit Platform - Transaction logging and integrity
• Input Validation - Data validation and error handling
• Event Sourcing - Immutable event logs
• Billing Platform - Financial transaction integrity

Confidentiality:

• Data Classification - Data classification and handling
• Encryption - Encryption at rest and in transit
• Access Controls - Role-based access control
• Documents Platform - Document encryption and access controls

Privacy (Optional):

• Identity Platform - User data management, consent
• Audit Platform - Privacy event logging
• Data Residency - Data location and residency controls
• GDPR Support - Data subject rights, data processing records

See: Security Overview for security principles.

See: Threat Models for security controls.

GDPR Mapping

Data Subject Rights:

Right of Access:

• Identity Platform - User can access their profile data
• Audit Platform - User can access audit logs related to their data
• Documents Platform - User can access their documents
• API Support - APIs support data access requests

Right to Rectification:

• Identity Platform - User can correct their profile data
• Documents Platform - User can update their documents
• Data Validation - Data accuracy maintained through validation

Right to Erasure (Right to be Forgotten):

• Data Deletion - User data can be deleted on request
• Cascade Deletion - Related data deleted across systems
• Legal Hold - Deletion suspended if legal hold applies
• Audit Trail - Deletion events logged for compliance

Right to Data Portability:

• Data Export - User data can be exported in machine-readable format
• API Support - APIs support data export
• Format Standards - Data exported in standard formats (JSON, CSV)

Data Processing Records:

• Audit Platform - All data processing events logged
• Processing Logs - Data access, modification, deletion logged
• Compliance Reporting - Processing records available for compliance reporting

Data Residency:

• Data Residency Policy - Data location and residency controls
• Multi-Region Support - Data can be stored in specific regions
• Tenant Configuration - Data residency configurable per tenant

See: Data Residency for data residency policy.

See: Audit Platform for audit capabilities.

HIPAA-Like Controls Mapping

For Insurance/Health-Related Workloads:

PHI Classification:

• Data Classification - PHI classified as "Customer Highly Sensitive"
• PHI Handling - PHI subject to strictest encryption and access controls
• PHI Redaction - PHI fully redacted in logs and error messages

Minimum Necessary Access:

• Access Controls - Access granted only to minimum necessary data
• Role-Based Access - Roles scoped to minimum necessary permissions
• Data Filtering - Data filtered to show only necessary fields

Audit/Logging Requirements:

• Audit Platform - All PHI access logged with full audit trail
• Access Logging - Who accessed what PHI, when, and why
• Audit Retention - PHI access logs retained for 6+ years
• Audit Reviews - Regular reviews of PHI access logs

Technical Safeguards:

• Access Control - Unique user identification, emergency access procedures
• Audit Controls - Activity logs for all PHI access
• Integrity - PHI not improperly altered or destroyed
• Transmission Security - Encryption in transit for all PHI

See: Threat Models for security controls.

See: Patterns Cookbook for implementation patterns.

Cross-References

Platform Documentation

Identity Platform:

• Authentication and authorization controls
• User data management and data subject rights
• MFA and access controls
• Audit logging of authentication events

Audit Platform:

• Security event logging
• Audit trail integrity and retention
• Compliance reporting
• Data processing records

Documents Platform:

• Document encryption and access controls
• Document classification and retention
• Legal hold capabilities
• Data subject rights (access, deletion)

Billing Platform:

• Financial transaction integrity
• Payment data protection (PCI DSS boundaries)
• Billing record retention
• Audit logging of financial operations

Integration Platform:

• Webhook security and validation
• Connector credential management
• Data transmission security
• Audit logging of integration events

AI Agents:

• PHI/PII handling in AI contexts
• Prompt security and data redaction
• Tool authorization and audit
• Human-in-the-loop for sensitive operations

See: Product Portfolio - Platforms for platform details.

Governance Documentation

Security & Compliance Policy:

• Baseline security posture
• Compliance alignment and roadmap
• Security requirements for Factory-generated services

Data Residency Policy:

• Data location and residency requirements
• Multi-region support
• Tenant-specific data residency

See: Security & Compliance Policy for governance policy.

See: Data Residency for data residency policy.

Related Documents

Security Documentation

• Security Overview - Security vision and principles
• Threat Models - Threat analysis and mitigations
• Patterns Cookbook - Security implementation patterns

Governance

• Security & Compliance Policy - Security policy and compliance roadmap
• Data Residency - Data residency policy

Platform Documentation

• Identity Platform - Identity & Access Platform
• Audit Platform - Audit Platform
• Documents Platform - Documents Platform
• Billing & Subscription Platform - Billing Platform
• Integration Platform - Integration Platform

Operations

• Operations Overview - Operations and SRE practices
• Incident Response Runbook - Security incident response