Compliance Reporting Template for Generative AI and Agentic AI in Regulated Industries

Document Information

• Template Version: 1.0

• Industry Focus: Generative AI and Agentic AI in Regulated Sectors (e.g., Finance, Healthcare, Critical Infrastructure)

• Purpose: This template provides a standardized format for reporting compliance status of Generative AI (e.g., content generation models) and Agentic AI (e.g., autonomous decision-making agents) systems, ensuring transparency, accountability, and regulatory adherence.

• Responsible Parties: Compliance Officer, IT Security Team, Legal Team, AI Governance Committee

Introduction

Compliance reporting for AI systems in regulated industries is critical for maintaining trust, avoiding penalties, and demonstrating responsible AI governance. This template covers key regulatory requirements such as GDPR, HIPAA, SOX, and emerging AI-specific regulations like the EU AI Act.

Key Objectives:

• Provide comprehensive compliance status overview.

• Demonstrate adherence to regulatory requirements.

• Identify areas needing improvement.

• Support audit and certification processes.

• Facilitate communication with stakeholders and regulators.

Reporting Frequency:

• Quarterly: Comprehensive compliance reports.

• Annual: Full regulatory filings and certifications.

• Ad-hoc: Incident-related reports or regulatory requests.