WFGY/ProblemMap/GlobalFixMap/Governance/regulatory_alignment.md

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Regulatory Alignment — Guardrails and Fix Pattern

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Think of this page as a desk within a ward.
If you need the full triage and all prescriptions, return to the Emergency Room lobby.

This page defines how to align AI pipelines with existing laws, sector regulations, and compliance regimes.
Most AI failures at scale are not purely technical but compliance drift — your pipeline silently breaks GDPR, HIPAA, or copyright law because logging or schema fences were never enforced.


When to use this page

  • Your system must prove compliance with GDPR, HIPAA, CCPA, or EU AI Act.
  • Clients demand explainable outputs and data provenance.
  • Auditors request reproducibility and risk registers.
  • You operate in finance, healthcare, or government sectors with strict controls.

Acceptance targets

  • 100% of data sources have a license_id and jurisdiction field.
  • Provenance chain covers ingestion → embedding → retrieval → generation.
  • Risk register includes bias, privacy, and IP risks with owner assignment.
  • Queries and outputs auditable within 5 minutes.
  • Alignment tests run weekly against updated compliance checklists.

Common failures → exact fixes

Symptom Likely cause Open this
Data from EU not separated or anonymized missing residency fence data_residency.md
Private health data leaks in logs no PHI redaction privacy_and_pii_edges.md
Citations omit license or source ingestion lacks rights license_and_dataset_rights.md
Retrieval answers drift from contract schema not enforced data-contracts.md
Bias audit fails on specific cohorts no structured probes eval_playbook.md

Fix in 60 seconds

  1. Residency + anonymization
    Partition datasets by region. Strip identifiers.

  2. Provenance chain
    Log license_id, jurisdiction, ingest_date, index_hash.

  3. Bias + privacy probes
    Weekly run λ stability tests across demographic variants.

  4. Risk register
    Maintain an owner, severity, and mitigation plan per risk.

  5. Alignment replay
    Prove a query followed rules by replaying citations and logs.


Minimal compliance checklist

  • All ingestion jobs include license_id and jurisdiction.
  • GDPR/CCPA consent tracked in logs.
  • Health/finance data use sector schemas.
  • Bias probes run weekly, logged with ΔS and λ.
  • Audit replay tested monthly with compliance team.

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