A13 - Risk and Compliance

Group	Technology	Status	Service	Roadmap phase	Contracts
A - Governance, identity and security	Developed	to develop	risk	10	audit-event

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Role and responsibilities

Risk assessments, controls mapping (AI Act, ISO 42001, GDPR), exceptions and evidence.

Data model

Tables (schema eai, every tenant table carries tenant_id uuid NOT NULL with an RLS policy on current_setting('app.tenant_id', true)::uuid): eai.risk_assessments, eai.risk_controls, eai.risk_exceptions, eai.audit_events.

API endpoints

• GET /v1/risk/assessments
• POST /v1/risk/assessments
• GET /v1/risk/controls
• POST /v1/risk/controls
• POST /v1/risk/exceptions
• GET /v1/risk/evidence

POST /v1/risk/assessments HTTP/1.1
Host: <control-plane-host>
X-API-Key: eai_xxx_secret
Accept-Language: en
Content-Type: application/json

{"target": {"type": "agent", "ref": "invoice-agent"}, "owner": "alice", "use_cases": ["invoice processing"]}

{
  "id": "e8b5d262-907a-4297-80fe-a33be6bcf663",
  "target": {"type": "agent", "ref": "invoice-agent"},
  "eu_ai_act_category": "minimal",
  "risk_level": "minimal",
  "use_cases": ["invoice processing"],
  "answers": {},
  "rationale": ["No prohibited practice, Annex III area or Art. 50 trigger declared"],
  "obligations": ["Voluntary codes of conduct (Art. 95)"],
  "status": "submitted",
  "owner": "alice",
  "created_by": "alice",
  "created_at": "2026-10-30T01:35:52.809612Z",
  "registry_synced": false
}

Errors use the common envelope {"error": {"code", "message", "message_i18n", "details", "request_id"}}; lists are paginated with limit and cursor.

SDK usage

Python (enterprise_ai):

from enterprise_ai import EnterpriseAI

client = EnterpriseAI(base_url="<control-plane-url>", api_key="eai_xxx_secret")
items = client.risk.list_assessments()

TypeScript (@enterprise-ai/sdk):

import { EnterpriseAI } from "@enterprise-ai/sdk";

const eai = new EnterpriseAI({ baseUrl: "<control-plane-url>", apiKey: process.env.EAI_API_KEY });
const items = await eai.risk.listAssessments();

Java (enterprise-ai-java):

EnterpriseAIClient client = EnterpriseAIClient.builder()
    .baseUrl("<control-plane-url>")
    .apiKey(System.getenv("EAI_API_KEY"))
    .build();
var items = client.risk().listAssessments();

Go (enterprise-ai-go):

client, _ := eai.NewClient(eai.WithBaseURL("<control-plane-url>"), eai.WithAPIKey(os.Getenv("EAI_API_KEY")))
items, err := client.Risk.ListAssessments(ctx)

Configuration

• Environment: EAI_DATABASE_URL, EAI_OTEL_EXPORTER_OTLP_ENDPOINT.
• Helm values: controlPlane.enabled, controlPlane.replicas, controlPlane.resources, controlPlane.config.

Security controls

• Authentication by OIDC JWT, tenant API key with scopes, or SPIFFE mTLS; tenant resolved from the credential, never from the body.
• Authorization through OpenFGA and OPA decisions; every mutation and decision writes a hash-chained eai.audit_events row.
• Secrets never returned by the API; TLS everywhere; Cilium network policies restrict who can reach the service.

Observability

• Metrics: eai_risk_and_compliance_requests_total, eai_risk_and_compliance_errors_total, eai_risk_and_compliance_latency_seconds (Prometheus).
• Traces: OpenTelemetry spans eai.risk.* with W3C traceparent propagation, AI spans forwarded to Opik.
• Audit actions: risk.assessment.create, risk.control.upsert, risk.exception.create, policy.evaluate.

FinOps aspects

Operating cost is allocated per tenant and project through labels on Usage Events and Kubernetes resource requests; no direct per-call cost.

Failure modes and resilience

• Stateless replicas behind the API Gateway, PostgreSQL HA for state; readiness probe GET /readyz removes unhealthy pods.
• External system unavailable: fail closed for security decisions, explicit error code, no silent bypass.

Standalone adoption (client of a client)

A client of a client can adopt this brick alone with the Python SDK sub-client client.risk (TS eai.risk, Java client.risk(), Go client.Risk). Minimal deployment: Control Plane API + PostgreSQL + Keycloak (or API keys), the Control Plane loads every domain of services/control-plane/src/eai/domains; the optional chart components are switched off in deploy/helm/enterprise-ai/values.yaml (vllm.enabled, qdrant.enabled, nats.enabled, workers.enabled).

Acceptance tests

1. A tenant cannot read or modify another tenant's resources (RLS test).
2. Every mutation produces an audit event verifiable by GET /v1/audit/verify.
3. Errors are returned in English and French according to Accept-Language.