system-prompts-and-models-of-ai-tools/dealix/dealix/registers/compliance_saudi.yaml

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# Saudi Compliance Register
# السجل الرسمي للامتثال السعودي
# ═══════════════════════════════════════════════════════════════════
# This register is the single source of truth for Dealix's Saudi
# compliance posture. Every control below is either:
#   IMPLEMENTED — enforced in code / infra
#   PLANNED     — scheduled for a named phase
#   NOT_APPLICABLE — documented rationale required
# ═══════════════════════════════════════════════════════════════════

schema_version: "1.0"
last_reviewed: "2026-04-21"
jurisdiction: "Kingdom of Saudi Arabia"
applicable_frameworks:
  - PDPL
  - SDAIA Controller/Processor Guide
  - NCA ECC 2-2024
  - NCA DCC-1:2022
  - NCA CCC 2:2024
  - NIST AI RMF 1.0
  - OWASP Top 10 for LLM Applications

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# PDPL — Personal Data Protection Law
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pdpl:
  data_inventory:
    status: PLANNED
    phase: "Phase 0 (Day 0-30)"
    description: "Catalog all personal data processed, by type and source"
    owner: "Privacy & Trust Plane"
    evidence: []

  lawful_basis_register:
    status: PLANNED
    phase: "Phase 0"
    description: "For every processing purpose, declare lawful basis: consent | contract | legal obligation | legitimate interest"
    owner: "Privacy & Trust Plane"
    note: "Sensitivity S3 actions REQUIRE a lawful basis entry — enforced by policy rule s3_requires_pdpl_check"

  purpose_register:
    status: PLANNED
    phase: "Phase 0"
    description: "Named purposes per data class; no secondary use without re-justification"
    owner: "Privacy & Trust Plane"

  retention_schedule:
    status: PARTIAL
    phase: "Phase 1"
    description: "Per-data-class retention periods with automated deletion"
    evidence:
      - "dealix/classifications/__init__.py::SensitivityClass"
    gaps:
      - "Retention NOT YET enforced in DB — requires Alembic migration + scheduled job"
    target_defaults:
      leads_S1_inactive: "24 months"
      leads_S2_disqualified: "12 months"
      leads_S3_personal: "per purpose + lawful basis"
      proposals_S2: "7 years (commercial record retention)"
      audit_logs: "7 years"
      evidence_packs: "7 years (linked to decisions)"

  breach_response:
    status: PLANNED
    phase: "Phase 1"
    description: "Breach detection → triage → 72-hour SDAIA notification per PDPL"
    owner: "Security + Legal"
    linked_runbook: "dealix/masters/incident_rollback_runbook.md"

  consent_and_notice:
    status: PARTIAL
    description: "Consent capture + transparent notice where lawful basis is consent"
    evidence:
      - "api/routers/leads.py accepts intake payload only via explicit opt-in source"
    gaps:
      - "Consent receipt emission not yet implemented"
      - "Privacy notice template not yet embedded in intake flows"

  controller_processor_map:
    status: PLANNED
    phase: "Phase 1"
    description: "For each integration, classify Dealix as controller, joint controller, or processor"
    known_relationships:
      hubspot: "Dealix = controller; HubSpot = processor"
      whatsapp_meta: "Dealix = controller; Meta = independent controller for platform data"
      resend_sendgrid: "Dealix = controller; provider = processor"
      google_calendar: "Dealix = controller; Google = processor"
      calendly: "Dealix = controller; Calendly = processor"
      openai_anthropic_google_groq_glm: "LLM providers — depends on DPA + data residency; S3 data MUST NOT be sent until DPA is in place per provider"

  dpo_assessment:
    status: PLANNED
    phase: "Phase 0"
    description: "Determine if DPO appointment is mandatory based on SDAIA triggers"
    triggers_checked:
      - "Public entity? — no (commercial)"
      - "Core activity = large-scale S3 processing? — likely YES once customer data at scale"
      - "Core activity = large-scale sensitive data monitoring? — depends on deployment"
    decision: "Appoint a named DPO before first production customer with S3 data"

  sdaia_platform_registration:
    status: PLANNED
    phase: "Phase 1"
    description: "Register on SDAIA platform if triggered (public entity, core processing, sensitive data)"
    decision: "Assess at first production-scale customer onboarding"

  data_subject_rights:
    status: PLANNED
    phase: "Phase 1"
    description: "Access / correction / deletion / portability endpoints"
    target_endpoints:
      - "POST /api/v1/privacy/data-subject-request"
      - "GET /api/v1/privacy/my-data (for authenticated subject)"

  cross_border_transfers:
    status: PARTIAL
    description: "LLM providers are outside KSA — requires assessment per PDPL Article 29"
    current_controls:
      - "S3 data is NOT sent to external LLMs by default — enforced at pipeline level (TO BE VERIFIED)"
      - "LLM routing prefers GLM for Arabic; cross-border posture documented per provider"
    gaps:
      - "Formal adequacy / contract / approval per PDPL executive regulations"

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# NCA — National Cybersecurity Authority
# ═══════════════════════════════════════════════════════════════════
nca_ecc_2024:
  scope: "Essential Cybersecurity Controls — baseline for all Saudi entities"
  posture: "Self-assessed; gap analysis planned Phase 1"
  implemented:
    - control: "2-1 Cybersecurity strategy and policy"
      evidence: "docs/blueprint/master-architecture.md + SECURITY.md"
    - control: "2-3 Cybersecurity governance in SDLC"
      evidence: ".github/workflows/ci.yml security job"
    - control: "2-5 Asset management"
      evidence: "dealix/registers/technology_radar.yaml"
    - control: "2-6 Identity & access management (partial — .env secrets)"
      evidence: "core/config/settings.py (SecretStr)"
    - control: "2-10 Logging & monitoring"
      evidence: "core/logging.py (structlog) + api/middleware.py (RequestIDMiddleware)"
    - control: "2-12 Secure configuration"
      evidence: "Dockerfile (non-root, multi-stage)"
  planned:
    - "2-7 Cryptography standards alignment"
    - "2-8 Secure systems development lifecycle (formal mapping)"
    - "2-9 Network security controls (once deployed)"
    - "2-11 Incident response (runbook Phase 1)"
    - "2-14 Third-party cybersecurity"

nca_dcc_2022:
  scope: "Data Cybersecurity Controls — extension of ECC for data lifecycle"
  posture: "Designed to align; formal mapping Phase 2"
  implemented:
    - control: "Classification (DCC-1-1)"
      evidence: "dealix/classifications (S0-S3)"
    - control: "Secure design (DCC-1-3)"
      evidence: "dealix/contracts/evidence_pack.py (intended vs actual tool calls)"
  planned:
    - "Encryption at rest for S2/S3 data"
    - "Encryption in transit with modern TLS only"
    - "Key management (Vault in Phase 2)"
    - "Data masking/tokenization for logs containing S2/S3"

nca_ccc_2024:
  scope: "Cloud Cybersecurity Controls — CSP + CST requirements"
  posture: "Platform is cloud-ready; full mapping before first cloud tenancy"
  implemented:
    - "Non-root container"
    - "Healthchecks"
    - "OIDC for CI to cloud"
  planned:
    - "Data localization posture (tenancy choice per customer)"
    - "Network segmentation (VPC design)"
    - "Customer data boundary enforcement"
    - "Shared responsibility model documented per deployment"

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# AI Governance
# ═══════════════════════════════════════════════════════════════════
ai_governance:
  nist_ai_rmf:
    govern:
      - "AI roles & responsibilities defined (blueprint §4)"
      - "Risk tolerance explicit per action classification"
      - "Third-party AI (LLM providers) governed via technology_radar"
    map:
      - "Each agent's context, use-case, and impact documented in docs/agents.md"
      - "Sensitivity / approval / reversibility classified per action"
    measure:
      - "Eval harness (PLANNED Phase 2)"
      - "Tool verification ledger catches hallucinated / wrong tool calls"
      - "Contradiction rate tracked in observability metrics"
    manage:
      - "Policy evaluator ESCALATEs low-confidence high-stakes decisions"
      - "Never-auto-execute list for irreversible actions"
      - "Approval center with TTL"

  owasp_llm_top_10:
    LLM01_prompt_injection:
      posture: "Agents don't execute side effects from LLM responses; NextActions go through policy gate"
      residual_risk: "Medium — LLM might still produce biased recommendations"
    LLM02_insecure_output_handling:
      posture: "Structured outputs validated against Pydantic + JSON Schema; markdown outputs escaped in UI"
      residual_risk: "Low"
    LLM03_training_data_poisoning:
      posture: "Not applicable — we use frontier-model APIs, not custom training"
      residual_risk: "N/A"
    LLM04_model_dos:
      posture: "Per-provider timeouts, retries, fallback chain; rate limiting planned"
      residual_risk: "Medium"
    LLM05_supply_chain:
      posture: "Dependabot weekly; pinned versions; pre-commit checks"
      residual_risk: "Low"
    LLM06_sensitive_info_disclosure:
      posture: "S3 data not sent to LLMs by default; SecretStr wrapping; audit log excludes secrets"
      residual_risk: "Medium (enforcement needs stronger gating)"
    LLM07_insecure_plugin_design:
      posture: "No plugin system exposed; integrations use versioned facade"
      residual_risk: "Low"
    LLM08_excessive_agency:
      posture: "Agents are Observer/Recommender only; external commitments go through approvals"
      residual_risk: "Low (by design)"
    LLM09_overreliance:
      posture: "Confidence + evidence + human-in-loop for high-stakes"
      residual_risk: "Low"
    LLM10_model_theft:
      posture: "N/A — no self-hosted model assets"
      residual_risk: "N/A"

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# Operational responsibilities
# ═══════════════════════════════════════════════════════════════════
responsibilities:
  compliance_owner: "Privacy & Trust Plane lead"
  security_owner: "Platform Security lead"
  dpo: "TBD — appointment before first production S3 customer"
  review_cadence: "Quarterly; after any material incident; on any regulatory update"