vii. Governance, Controls & Oversight

Governance, controls, and oversight define how analytical and AI systems are managed, monitored, and held accountable. These frameworks ensure that models are used responsibly, aligned with organizational objectives, and subject to appropriate review and escalation.

Accountability

Clear assignment of responsibility for decisions, outcomes, and system behavior.

Approval Workflow

A defined process requiring review and authorization before models or outputs are deployed or used.

Control Framework

Policies and procedures designed to manage risk and ensure proper system use.

Escalation Protocol

Defined steps for addressing issues, exceptions, or failures identified in analytical systems.

Governance Model

The structure defining roles, responsibilities, and decision rights for system oversight.

Human Oversight

Ongoing review and supervision of automated or analytical outputs by qualified individuals.

Model Lifecycle Management

Processes governing model development, deployment, monitoring, and retirement.

Monitoring Process

Ongoing observation of system performance, accuracy, and compliance.

Policy Enforcement

Mechanisms ensuring that governance rules and usage constraints are followed.