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Compliance Configuration - Clearpoint Systems Docs

Configure Clearpoint Systems Technology for compliance requirements including audit trails, data retention, and regulatory reporting.

Clearpoint Systems Technology provides comprehensive compliance configuration capabilities for meeting regulatory requirements and audit standards. This guide covers compliance settings, data retention, and audit trail configuration.

Compliance Frameworks

Clearpoint supports multiple compliance frameworks:

compliance_frameworks:
  sox:
    enabled: true
    controls:
      - "access_control"
      - "change_management"
      - "data_integrity"
      - "financial_reporting"
    reporting_frequency: "quarterly"
    documentation_retention: "7_years"
    
  hipaa:
    enabled: true
    controls:
      - "data_protection"
      - "access_control"
      - "audit_trail"
      - "business_associate_agreements"
    reporting_frequency: "monthly"
    documentation_retention: "6_years"
    
  gdpr:
    enabled: true
    controls:
      - "data_protection"
      - "data_subject_rights"
      "consent_management"
      "data_portability"
    reporting_frequency: "monthly"
    documentation_retention: "data_retention_period"
    
  pci_dss:
    enabled: true
    controls:
      - "cardholder_data_protection"
      - "network_security"
      "vulnerability_scanning"
      "secure_coding_practices"
    reporting_frequency: "quarterly"
    documentation_retention: "3_years"

Data Retention Policies

Configure data retention for different data types:

data_retention:
  operational_data:
    retention_period: "7_years"
    automatic_cleanup: false
    compliance_archive: true
    
  audit_logs:
    retention_period: "7_years"
    immutable: true
    backup_frequency: "daily"
    
  user_data:
    retention_period: "7_years"
    deletion_request_process: "formal_request"
    data_minimization: "enabled"
    
  system_logs:
    retention_period: "90_days"
    rotation_frequency: "weekly"
    archive_after_rotation: true

Audit Trail Configuration

Comprehensive Audit Logging

Configure detailed audit trail capture:

audit_trail:
  enabled: true
  scope: "all"
  events:
    - "user_authentication"
    - "data_access"
    "configuration_changes"
    "workflow_executions"
    "system_errors"
    "compliance_violations"
  capture_details:
    - "user_id"
    - "ip_address"
    - "timestamp"
    "user_agent"
    "session_id"
    "action_performed"
    "resource_affected"
  storage:
    encrypted: true
    backup: true
    tamper_evident: true

Data Lineage Tracking

Track data movement and transformations:

data_lineage:
  enabled: true
  capture_transformations: true
  include_source_metadata: true
  include_destination_metadata: true
  retention: "7_years"
  export_formats: ["json", "csv", "pdf"]
  reporting_frequency: "monthly"

Access Control Compliance

Role-Based Access Control

Configure RBAC for compliance:

access_control:
  role_based_access: true
  principle_of_least_privilege: true
  access_reviews: "quarterly"
  session_timeout: "8h"
  multi_factor_authentication: "required"
  password_policy:
    min_length: 12
    complexity_requirements: ["uppercase", "lowercase", "numbers", "special"]
    expiration: "90_days"
    history_count: "12"
  
  privileged_access:
    approval_required: true
    dual_authorization: true
    time_based_access: true
    emergency_access_procedures: "documented"

Separation of Duties

Configure SoD controls:

separation_of_duties:
  enabled: true
  conflict_detection: true
  approval_workflows: true
  audit_trail_visibility: "role_based"
  cross_department_access: "approval_required"

Reporting Configuration

Compliance Reports

Automate compliance report generation:

compliance_reports:
  sox:
    schedule: "quarterly"
    format: "pdf"
    recipients: ["compliance@company.com", "audit@company.com"]
    sections:
      - "control_assessment"
      - "testing_effectiveness"
      - "management_review"
      - "independent_assessment"
      - "corrective_actions"
      - "user_access_review"
    
  hipaa:
    schedule: "monthly"
    format: "pdf"
    recipients: ["compliance@company.com", "privacy@company.com"]
    sections:
      - "security_assessment"
      - "risk_assessment"
           "breach_notification"
      "incident_response"
      "training_records"
      "baa_status"
      
  gdpr:
    schedule: "monthly"
    format: "pdf"
    recipients: ["dpo@company.com", "privacy@company.com"]
    sections:
      "data_processing_activities"
      - "data_subject_requests"
      "data_breach_procedures"
      "vendor_assessments"
      "data_protection_measures"
      "dpo_contact_information"

Custom Compliance Reports

Create custom compliance reports:

custom_reports:
  internal_audit:
    name: "Monthly Internal Audit"
    schedule: "monthly"
    data_sources: ["audit_logs", "access_logs", "configuration_changes"]
    filters:
      - "department:finance"
      - "date_range:last_30_days"
    format: "excel"
    
  regulatory_filing:
    name: "Regulatory Filing"
    schedule: "as_required"
    data_sources: ["compliance_metrics", "audit_trail"]
    format: "pdf"
    signature_required: true
    
  board_reporting:
    name: "Board Compliance Dashboard"
    schedule: "quarterly"
    data_sources: ["kpi_metrics", "compliance_scorecard"]
    format: "dashboard"
    real_time: true

Security Configuration

Encryption Standards

Configure encryption for data protection:

encryption:
  at_rest:
    algorithm: "AES-256-GCM"
    key_management: "hsm_backed"
    key_rotation: "quarterly"
    
  in_transit:
    protocol: "TLS 1.3"
    cipher_suites: ["TLS_AES_256_GCM_SHA384", "TLS_CHACHA20_POLY1305_SHA256"]
    certificate_management: "automated"
    
  key_management:
    provider: "aws_kms"
    key_rotation: "quarterly"
    access_logging: "detailed"
    emergency_procedures: "documented"

Network Security

Configure network security controls:

network_security:
  firewall_rules: "enterprise_grade"
  intrusion_detection: "enabled"
  ddos_protection: "always_on"
  ip_whitelisting: "enabled"
  ssl_inspection: "enabled"
  vulnerability_scanning: "continuous"
  penetration_testing: "quarterly"
  security_monitoring: "24x7"

Monitoring and Alerting

Compliance Monitoring

Configure compliance-specific monitoring:

compliance_monitoring:
  real_time_alerts:
    data_breach: "immediate"
    access_violations: "within_15m"
    compliance_deviations: "within_1h"
    audit_trail_gaps: "within_24h"
    
  dashboard_alerts:
    compliance_score: "below_80"
    audit_trail_completeness: "below_95%"
    data_quality_score: "below_90%"
    
  automated_testing:
    vulnerability_scans: "weekly"
    compliance_checks: "daily"
    penetration_tests: "monthly"

Alert Configuration

Configure compliance alerts:

compliance_alerts:
  critical:
    channels: ["email", "pager", "slack"]
    recipients: ["compliance@company.com", "security@company.com"]
    escalation: "immediate"
    
  high:
    channels: ["email", "slack"]
    recipients: ["compliance@company.com"]
    escalation: "within_1h"
    
  medium:
    channels: ["email"]
    recipients: ["compliance@company.com"]
    escalation: "within_4h"

Documentation Management

Policy Documentation

Maintain comprehensive policy documentation:

documentation_management:
  policies:
    retention: "7_years"
    version_control: "git_based"
    change_management: "formal_process"
    review_frequency: "quarterly"
    approval_workflow: "multi_level"
    
  training_materials:
    retention: "3_years"
    update_frequency: "quarterly"
    user_access: "role_based"
    certification_tracking: "automated"
    
  evidence_collection:
    retention: "7_years"
    collection_methods: "automated"
    storage_format: "immutable"
    accessibility: "role_based"
    backup_frequency: "daily"

Training and Awareness

Configure compliance training programs:

compliance_training:
  mandatory_training:
    frequency: "quarterly"
    completion_tracking: "automated"
    course_library: ["data_protection", "access_control", "incident_response"]
    
  awareness_program:
    frequency: "monthly"
    topics: ["security_best_practices", "policy_updates", "threat_intelligence"]
    delivery_methods: ["email", "dashboard"]
    completion_tracking: "automated"

Best Practices

  1. Implement defense in depth — Multiple layers of security controls
  2. Document everything — Maintain clear documentation of compliance controls
  3. Test regularly - Validate controls through testing and audits
  4. Review continuously - Monitor and update controls as needed
  5. Train consistently - Keep the team informed about compliance requirements
  6. Plan for audits - Prepare for compliance assessments in advance

Troubleshooting

Compliance Violations

Investigate compliance violations:

GET /api/v1/compliance/violations?severity=high&last=24h

Audit Trail Gaps

Check for audit trail completeness:

GET /api/v1/audit/completeness?date_range=2024-01-01:2024-01-31

Configuration Issues

Validate compliance configuration:

GET /api/v1/compliance/validate

External Audit Preparation

Prepare for external audits:

GET /api/v1/compliance/audit_preparation

Getting Started

To enable compliance features:

  1. Go to Settings → Compliance in the Clearpoint dashboard
  2. Select your compliance frameworks
  3. Configure retention policies and audit settings
  4. Set up monitoring and alerting
  5. Generate initial compliance reports

For Enterprise customers, our compliance specialists can assist with:

  • Compliance framework implementation
  • Policy development
  • Audit preparation
  • Staff training
  • Documentation creation

Contact your account manager for compliance consulting services.