CSE Roadmap

Specialist tier · about 3 hours · 4 parts

Part 2 of 4 · 9 min read

Definitions

Covers: Definitions; The gate; Results; Design rules; Interview questions, with the follow-ups; Common mistakes; What the example does not do.

Definitions

Risk-based regulation

  • Risk-based regulation: obligations scale with the potential harm of the use case, not with the technology used.

High-risk, limited-risk, prohibited

  • Prohibited: practices banned outright.
  • High-risk: use cases in listed sensitive domains with the heaviest obligations.
  • Limited-risk: mainly transparency duties.

GDPR, DPIA, Article 22

  • GDPR: the EU's data protection regulation.
  • DPIA: data protection impact assessment, required for high-risk processing of personal data.
  • Article 22: limits on decisions based solely on automated processing with legal or similarly significant effects.

Model card, impact assessment

  • Model card: documentation of a model's purpose, data, evaluation and limits.
  • Impact assessment: a structured analysis of who is affected and how.

Policy as code, compliance gate

  • Policy as code: rules written as executable checks.
  • Compliance gate: a release step that blocks until required evidence exists.

The gate

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as code: classify the system, derive obligations, check evidence, fail closed1 Describedomain, practices,flags, evidence manifest2 Classifyprohibited / high /limited / minimal3 Obligationslist derived fromthe tier4 Checkeach item needsevidence in the manifest5 Gatepass, or fail withnamed reasonsRe-run the gate when the domain, features or evidence change (drift check), not only at first release.A tier or evidence list written by engineers is a sketch: counsel decides the real classification.Sketch of the EU AI Act's risk-based structure; simplified, not legal advice.
Classify, derive obligations, check evidence, gate; re-run on drift.

Results

System (invented) Tier Result
faq-bot limited pass
faq-bot-no-disclosure limited missing ai_disclosure
internal-summariser minimal pass
internal-summariser-undocumented minimal missing model_card, retention_policy
cv-screener high pass
cv-screener-no-oversight high missing human_oversight
loan-triage high missing two_person_signoff
image-gen limited pass
nudifier prohibited do not ship (even with full evidence)
emotion-scoring-hr prohibited do not ship
Date (as read 2026-10-31) What
2 Feb 2025 prohibitions (my general knowledge)
2 Aug 2025 general-purpose model obligations (my general knowledge)
2 Aug 2026 Article 50 transparency for deployers
2 Dec 2026 marking grace period ends; new prohibition
2 Dec 2027 Annex III high-risk
2 Aug 2028 Annex I high-risk
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of 10 sample systems pass the gate (invented systems)faq-botlimitedpassfaq-bot-no-disclosurelimitedmissing ai_disclosureinternal-summariserminimalpassinternal-summariser-undocumentedminimalmissing model_card; missing retention_policycv-screenerhighpasscv-screener-no-oversighthighmissing human_oversightloan-triagehighmissing two_person_signoffimage-genlimitedpassnudifierprohibitedprohibited practice: do not shipemotion-scoring-hrprohibitedprohibited practice: do not shipDates read 2026-10-31 (secondary sources): Annex III high-risk 2 Dec 2027; Annex I 2 Aug 2028; Article 50 transparency 2 Aug 2026.Check the Official Journal text and counsel before relying on any date.
Ten invented systems through the gate.
  1. Tier decides the work: minimal needs two items, high needs eight plus a sign-off.
  2. Prohibited is not fixable with paperwork.
  3. Missing evidence is named, so a failure is a to-do list.
  4. Dates are data: keep them in config and review them.

Design rules

  • Classify at design time, and again when the domain, users or features change.
  • Keep an evidence manifest per system: model card, risk assessment, evals, decision logs, oversight design, retention, sign-offs.
  • Gate releases in CI, failing closed, with named reasons.
  • Re-check on drift (tier, domain, removed evidence, new model version).
  • Track law dates and status centrally, with an owner and a review cadence; cite primary sources.
  • Minimise personal data and honour deletion (module 6) so GDPR duties are tractable.
  • Disclose AI interaction and mark synthetic media where required.
  • Involve counsel early for classification, contracts and incident reporting; do not self-certify.
  • Map to a framework (NIST AI RMF, ISO 42001) to organise the work.
  • Log and escalate (module 9): regulators ask for evidence of oversight.

Interview questions, with the follow-ups

How does regulation affect how you build an agent?

"I classify the use case by risk, because obligations follow the tier. High-risk uses need documentation, logging, human oversight and an impact assessment; chatbots need disclosure. I keep evidence in a manifest and gate releases on it. Legal decides the classification; I make the system auditable." Follow-up: "Name the frameworks." EU AI Act (risk-based), GDPR (personal data), US state laws and sector rules such as PCI DSS and SOX; NIST AI RMF and ISO 42001 as organising frameworks.

What is policy as code?

"Compliance requirements as executable checks in CI: for each system, derive required evidence from its tier and fail the release if it is missing, with named reasons. In my sketch 4 of 10 systems passed and each failure said what was missing." Follow-up: "Does passing mean compliant?" No: it means the evidence I defined exists. Counsel and regulators decide compliance.

The AI Act dates keep moving. How do you cope?

"I keep dates and scope in a reviewed config, cite the Official Journal, and design for the strictest likely obligation so a date shift does not change the engineering plan. From what I read, high-risk Annex III moved to December 2027, but I would verify that." Follow-up: "Why design early if dates slip?" Logging, oversight and documentation are costly to retrofit and are good practice anyway.

How does GDPR affect an agent with memory?

"Memory is personal data: lawful basis, minimisation, retention limits, access and erasure. Erasure must reach derived copies, which is why I track lineage (module 6), and significant automated decisions need human involvement." Follow-up: "Is retrieval data covered?" Yes if it contains personal data.

Common mistakes

  • Treating compliance as a final-week task.
  • Self-classifying risk without legal review.
  • Hard-coding dates from a blog post.
  • Assuming "no EU users" or "no AI law" means nothing applies (GDPR, sector and state rules).
  • Paperwork that does not match behaviour: a model card nobody maintains.
  • No drift checks after the system gains a new domain or tool.
  • Believing a passing gate means legal compliance.

What the example does not do

  • No legal analysis: tier rules, obligation lists and the "prohibited" set are simplified; real definitions have exceptions and conditions.
  • Evidence is a boolean, not a reviewed document.
  • Sources are secondary (blogs), read on one day; I did not read the Official Journal text, and omnibus details may differ.
  • GDPR, US and sector rules appear only as notes; the code covers the AI Act-style tiers.
  • No conformity assessment, registration, incident reporting or contract analysis.
  • Optional real experiment (I did not run this): take one real system, have counsel classify it, and compare their obligation list with the one required() generates; fix the gap in the code.

Check yourself

A new law sets a date for your obligations. Where should that date live? (In configuration with a source and a read date, not in someone memory. Annex III dates moved from 2 August 2026 to 2 December 2027 in the sources I read.)

For the curious Engineering orientation, not legal advice

The example classifies 10 invented systems and 4 of 10 pass the gate; the failures name what is missing (disclosure, human oversight, two-person sign-off, a prohibited practice). The tiers and obligations are my simplification. Laws and dates were read on 31 October 2026 from secondary sources, not the Official Journal, and counsel decides the real classification.

What you will use daily at work

Practice What it looks like
Classify each system early And re-run when its domain, features or evidence change.
Keep an evidence manifest Model card, risk assessment, eval report, logs, oversight design, retention policy.
Put the checks in CI A gate that fails closed on missing evidence.
Date-stamp every legal claim Source, read date and who confirmed it.

Draft: confirm every date and obligation against the official text and with counsel before publishing.

What you must be able to say (one page)

  • This is engineering orientation, not legal advice. Classification, deadlines and liability are decisions for counsel. What an engineer owns is making the system evidenced: documented, logged, overseeable and gated. Laws and dates below were read on 2026-10-31 from secondary sources (law-firm and compliance blogs, not the Official Journal text), so verify before relying on any of them.
  • The EU AI Act is risk-based. It categorises systems into levels of risk (minimal, high, unacceptable) with obligations for transparency, accountability and human oversight. Simplified: prohibited (cannot be placed on the market), high-risk (listed domains such as employment, credit, education, biometrics, critical infrastructure: risk management, logging, human oversight, documentation), limited risk (transparency: tell people they are talking to AI, mark synthetic media), minimal (little beyond good practice).
  • Dates moved, so keep them in config, not in your head. From the sources I read: the Digital AI Omnibus was reported adopted in mid 2026 and in force on 27 July 2026; Annex III high-risk obligations moved from 2 August 2026 to 2 December 2027; Annex I (AI in regulated products) to 2 August 2028; generative-AI marking for systems already on the market gets a grace period to 2 December 2026; a new prohibition on systems generating non-consensual intimate imagery or child sexual abuse material applies from 2 December 2026. Prohibitions (2 February 2025) and general-purpose model obligations (2 August 2025) are earlier, from my general knowledge. The obligations themselves did not change, only the dates. Treat all of it as "check at review time".
  • GDPR is already in force and applies to agents that touch personal data: lawful basis, minimisation, purpose limitation, retention, data-subject rights including erasure (module 6), and restrictions on solely automated decisions with significant effects (Article 22, from my general knowledge).
  • US: a patchwork, no federal law. From the sources I read: Colorado's original AI Act never took effect and was repealed and replaced by a narrower automated-decision law (SB 26-189, signed 14 May 2026) effective 1 January 2027; California's SB 53 (frontier AI transparency and incident reporting) took effect 1 January 2026; federal preemption of state laws had not been enacted as of mid 2026. State law changes fast.
  • Industry rules stack on top: PCI DSS for payments, SOX for financial reporting, plus sector rules (health, finance). They constrain agent data access and behaviour even if no AI law applies.
  • What engineers do about it: classify each system early; derive obligations from the tier; keep evidence (model card, risk assessment, eval report, decision logs, human-oversight design, retention policy, sign-offs) in a manifest; put the checks in CI as a gate that fails closed; re-run on drift.
  • My example classifies 10 invented systems and gates them: 4 of 10 pass; failures are named (missing disclosure, missing human oversight, missing two-person sign-off, prohibited practice). 16 tests. The tiers and obligation lists are my simplification, not the law.