Agentic AI Reference Architecture

Governance & Compliance · Human role

Compliance Officer

Human roleGovernance & ComplianceSafety, Security & Governancearc:ComplianceOfficer

A human role accountable for verifying that evaluation protocols, approved model versions and reviewed prompts satisfy regulatory requirements before production promotion.

Responsibility. Signs off regulatory conformance of agent releases.

Also known as: Compliance team, Rule base auditor, Compliance auditor, Legal counsel reviewer

monitors; invokesreceives escalation fromauditsauditsreceives escalation fromreceives escalation fromapprovesauditsauditsauditsauditsauditsauditsauditsreceives data fromevaluatesauditsreceives data fromCompliance Dashboard: monitors; invokesCompliance DashboardAlert Manager: receives escalation fromAlert ManagerAudit Log Store: auditsAudit Log StoreTrace Store: auditsTrace StoreBias Evaluator: receives escalation fromBias EvaluatorIncident Manager: receives escalation fromIncident ManagerStage Promotion Controller: approvesStage Promotion ControllerGuardrail Policy: auditsGuardrail PolicyHarm Risk Register: auditsHarm Risk RegisterApproval Request Store: auditsApproval Request StoreCompliance Evidence Repository: auditsCompliance Evidence Repo…Model and Agent Release Registry: auditsModel and Agent Release …Production Rule Base: auditsProduction Rule BaseFairness Audit Report: auditsFairness Audit ReportCompliance Report Generator: receives data fromCompliance Report Genera…Risk Acceptance Record: evaluatesRisk Acceptance RecordPost-Incident Report: auditsPost-Incident ReportPrioritized Review Queue: receives data fromPrioritized Review Queue+2 more (see relationships)
Direct neighbourhood (hover for relationship types)

Relationships

invokes dependency

receives data from dynamic

receives escalation from dynamic

approves control

audits assurance

evaluates assurance

monitors assurance

Design guidance

Quantitative guidance

As stated by the sources; verify before use.

Classification

Frameworks & regulations
Fair Housing ActEqual Credit Opportunity ActCivil Rights ActISO/IEC 42001 §9 Performance evaluation

Sources

  1. Ch4.4: T. Nguyen, "Performance Profiling and Optimization," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 4.4. ISBN: 9798244538229.
  2. Ch5.3: T. Nguyen, "Self-Consistency Fundamentals," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 5.3. ISBN: 9798244538229.
  3. Ch5.11: T. Nguyen, "Rule-Based Decision Making Fundamentals," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 5.11. ISBN: 9798244538229.
  4. Ch7.1B: T. Nguyen, "Nvidia NIM and Colang," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 7.1B. ISBN: 9798244538229.
  5. Ch9.1: T. Nguyen, "Output Filtering and Content Moderation," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 9.1. ISBN: 9798244538229.
  6. Ch9.2: T. Nguyen, "Action Constraints and Permission Models," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 9.2. ISBN: 9798244538229.
  7. Ch9.4: T. Nguyen, "Fairness and Bias Mitigation," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 9.4. ISBN: 9798244538229.
  8. Ch9.5: T. Nguyen, "Constitutional AI," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 9.5. ISBN: 9798244538229.
  9. Ch9.7: T. Nguyen, "GDPR and Data Protection Regulations," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 9.7. ISBN: 9798244538229.
  10. Ch9.8: T. Nguyen, "Standards and Frameworks for AI Governance," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 9.8. ISBN: 9798244538229.
  11. Ch10.1: T. Nguyen, "Conversational UI," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 10.1. ISBN: 9798244538229.
  12. Ch10.5: T. Nguyen, "Human-over-the-Loop," in Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam, 1st ed. 2026, ch. 10.5. ISBN: 9798244538229.
  13. Ref9.01: "AI Safety Frameworks for Agent Systems," unpublished reference note (01-AI-Safety-Frameworks.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  14. Ref9.02: "Responsible AI and Ethical Principles," unpublished reference note (02-Responsible-AI-Ethical-Principles.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  15. Ref9.03: "Regulatory Compliance Frameworks for AI Systems," unpublished reference note (references/Chapter 9 - Safety, Ethics, and Compliance/03-Regulatory-Compliance-Frameworks.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  16. Ref9.06: "Auditing and Compliance Monitoring for AI Systems," unpublished reference note (references/Chapter 9 - Safety, Ethics, and Compliance/06-Auditing-Compliance-Monitoring.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  17. Ref9.07: "Risk Assessment and Management for AI Systems," unpublished reference note (references/Chapter 9 - Safety, Ethics, and Compliance/07-Risk-Assessment-Management.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  18. Ref9.08: "Safety Incident Response for AI Systems," unpublished reference note (08-Safety-Incident-Response.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  19. Ref9.09: "Compliance Automation and Tools," unpublished reference note (09-Compliance-Automation-Tools.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note
  20. Ref9.10: "Chapter 9 Summary: Safety, Ethics, and Compliance," unpublished reference note (10-Chapter-9-Summary.md), Mastering Agentic AI Systems: Guide for the NVIDIA NCP-AAI Exam supplementary materials, 2026. unpublished note