AI Governance Framework - Executive Summary

For Leadership and Board Review

Framework Overview

This comprehensive AI Governance Framework provides the policies, standards, and operational guidance required to responsibly develop, deploy, and manage AI systems. The framework is aligned with global regulatory requirements and industry best practices.

Framework at a Glance

Attribute	Details
Version	2.0 (Enhanced)
Documents	18 integrated artifacts
Compliance Coverage	NIST AI RMF 2.0, EU AI Act, ISO/IEC 42001
Target Audiences	SMB and Enterprise organizations
Status	Production-ready

Document Portfolio

Core Governance Documents (1-10)

#	Document	Purpose	Primary Audience
01	Operating Model	Governance structure, bodies, lifecycle	Executives, Program Leads
02	Governance Charter	Authority, mandate, decision rights	Board, Legal
03	Risk Classification Matrix	4-tier risk scoring system	Project Leads, Risk
04	Intake & Registration Form	AI system registration	Developers, Owners
05	Enterprise AI Policy	Rules, prohibitions, standards	All Employees
06	System Card Template	Technical documentation	Technical Leads
07	Algorithmic Impact Assessment	Deep risk assessment (FRIA)	Risk, Legal, Ethics
08	Implementation Plan	30-60-90 day roadmap	Program Management
09	GenAI Governance Addendum	LLM and agentic AI controls	AI Engineers
10	Executive Summary	Leadership overview	Executives, Board

Extended Compliance Documents (11-18)

#	Document	Purpose	Primary Audience
11	Gap Analysis	Compliance verification	Compliance, Audit
12	Coditect Impact Analysis	Platform application	Strategy, Product
13	AI-BOM Template	AI Bill of Materials	Technical, Security
14	GPAI Compliance Framework	EU AI Act GPAI requirements	Compliance, Legal
15	Third-Party AI Risk Management	Vendor/supply chain	Procurement, Security
16	Continuous Monitoring Standard	Operational monitoring	Operations, SRE
17	SMB Quick-Start Guide	Simplified implementation	SMB Leaders
18	ISO/IEC 42001 Alignment Matrix	Certification mapping	Quality, Compliance

Regulatory Compliance Summary

EU AI Act Timeline Readiness

Deadline	Requirement	Framework Coverage	Status
Feb 2, 2025	Prohibited AI practices	Policy §3.1 (all 8 practices)	✓ Ready
Aug 2, 2025	GPAI transparency obligations	GPAI Framework (Doc 14)	✓ Ready
Aug 2, 2025	AI literacy requirements	Implementation Plan §3.2	✓ Ready
Aug 2, 2026	High-risk AI conformity	Full framework	✓ Ready
Aug 2, 2027	Legacy system compliance	Transition guidance	✓ Ready

Standards Alignment

Standard	Coverage	Key Evidence
NIST AI RMF 2.0	98%	Full function mapping (GOVERN, MAP, MEASURE, MANAGE)
EU AI Act	98%	All timeline requirements addressed
ISO/IEC 42001	95%	36/38 Annex A controls mapped
OWASP LLM Top 10	95%	GenAI Addendum coverage
SPDX 3.0 AI Profile	95%	AI-BOM template alignment

Governance Structure

Four Governance Bodies

┌─────────────────────────────────────────────────────────────┐
│              AI EXECUTIVE BOARD (Quarterly)                 │
│   Strategic direction, policy approval, major decisions     │
└─────────────────────────────────────────────────────────────┘
                              │
        ┌─────────────────────┼─────────────────────┐
        ▼                     ▼                     ▼
┌───────────────┐    ┌───────────────┐    ┌───────────────┐
│ AI RISK       │    │ DOMAIN        │    │ AI ETHICS     │
│ REVIEW BOARD  │    │ STEWARD FORUM │    │ COMMITTEE     │
│ (Weekly)      │    │ (Bi-weekly)   │    │ (Ad-hoc)      │
│               │    │               │    │               │
│ Approvals,    │    │ Standards,    │    │ Ethical       │
│ Escalations   │    │ Best practice │    │ Reviews       │
└───────────────┘    └───────────────┘    └───────────────┘

Decision Rights by Risk Tier

Risk Tier	Approval Authority	Review Cycle
Low	Domain Steward	Annual
Medium	AI Risk Officer	Semi-annual
High	AI Risk Review Board	Quarterly
Critical	AI Executive Board	Quarterly

Risk Classification Framework

Four-Tier System

Tier	Label	Approval Path	Controls Required
Low	Register & Go	Domain Steward (1-3 days)	4 minimum controls
Medium	Trust but Verify	AI Risk Officer (5-10 days)	8 minimum controls
High	Gatekeeper Approval	Risk Review Board (10-15 days)	15 minimum controls
Critical	Executive Mandate	Executive Board (15-20 days)	20+ controls

Classification Dimensions

Data Sensitivity (1-4): Public → Restricted
Autonomy Level (1-4): Advisory → Human-out-of-loop
Impact Scope (1-4): Individual → Critical infrastructure
Scale (1-4): <100 users → >10,000 users

Tier = Maximum score across all dimensions

AI Lifecycle Governance

Eight Lifecycle Phases

┌──────────┐   ┌──────────┐   ┌──────────┐   ┌──────────┐
│ 1.INTAKE │──▶│ 2.CLASS- │──▶│ 3.RISK   │──▶│ 4.BUILD/ │
│          │   │   IFY    │   │ ASSESS   │   │ PROCURE  │
└──────────┘   └──────────┘   └──────────┘   └──────────┘
                                                   │
┌──────────┐   ┌──────────┐   ┌──────────┐   ┌──────────┐
│ 8.DECOM- │◀──│ 7.MONITOR│◀──│ 6.RELEASE│◀──│ 5.PRE-   │
│ MISSION  │   │          │   │          │   │ PROD GATE│
└──────────┘   └──────────┘   └──────────┘   └──────────┘

Gate Requirements

Gate	Required Artifacts	Approver
Pre-Production	System Card, Security Review, AIA (if High-Risk)	Per tier
Release	All pre-prod + Monitoring configured	AI Risk Officer
Decommission	Data retention plan, Archive documentation	System Owner

Key Policy Highlights

Prohibited AI Uses (EU AI Act Article 5)

❌ Social scoring systems
❌ Subliminal manipulation
❌ Exploitation of vulnerable groups
❌ Real-time biometric identification in public spaces
❌ Emotion recognition in workplace/education
❌ Biometric categorization (inferring sensitive attributes)
❌ Untargeted facial recognition database scraping
❌ Predictive policing based solely on profiling

Enterprise "No Secrets" Rule

Never input into public AI tools:

Personal Identifiable Information (PII)
Intellectual property or trade secrets
Credentials, API keys, passwords
Confidential contracts or financial data

GenAI and Agentic AI Controls

Defense-in-Depth Architecture

┌─────────────────────────────────────────────────────────────┐
│ INPUT GUARDRAILS                                            │
│ • PII scrubbing • Injection detection • Rate limiting       │
└─────────────────────────────────────────────────────────────┘
                              │
                              ▼
┌─────────────────────────────────────────────────────────────┐
│ MODEL LAYER                                                 │
│ • System prompts • Temperature controls • Grounding (RAG)   │
└─────────────────────────────────────────────────────────────┘
                              │
                              ▼
┌─────────────────────────────────────────────────────────────┐
│ OUTPUT GUARDRAILS                                           │
│ • Toxicity filtering • PII redaction • Format validation    │
└─────────────────────────────────────────────────────────────┘
                              │
                              ▼
┌─────────────────────────────────────────────────────────────┐
│ LOGGING & MONITORING                                        │
│ • Full audit trail • Drift detection • Incident alerting    │
└─────────────────────────────────────────────────────────────┘

Agentic AI Mandatory Controls

Control	Requirement
Action Boundaries	Explicit whitelist of permitted actions
Tool Access	Approved tool inventory with parameter validation
Kill Switch	Tested shutdown capability
Rate Limiting	Token/action budgets
Multi-Agent	Orchestrator oversight, cascade prevention
Audit Trail	Complete action logging

GPAI Compliance (EU AI Act)

Classification Thresholds

Training Compute	Classification	Obligations
< 10²³ FLOPS	Not GPAI	Standard AI rules
≥ 10²³ FLOPS	Standard GPAI	Transparency requirements
≥ 10²⁵ FLOPS	Systemic Risk GPAI	Full safety framework

Key GPAI Obligations (Effective Aug 2, 2025)

Maintain technical documentation
Provide downstream provider information
Establish copyright compliance policy
Publish training data summary
(Systemic only) Safety and security framework

Implementation Roadmap

30-60-90 Day Plan

Phase	Timeline	Key Deliverables
Foundation	Days 1-30	Charter approval, Board formation, AI inventory
Pilot	Days 31-60	3 pilot use cases, Process testing, Basic tooling
Operationalize	Days 61-90	Enforcement gates, Training rollout, First report

Success Metrics

Metric	Target	Timeline
AI inventory coverage	100%	Day 30
Ownership assignment	100%	Day 60
Ungated high-risk deployments	0	Day 90
Employee awareness	>80%	Day 90

Investment Summary

Resource Requirements

Category	Initial (90 days)	Ongoing (Annual)
Personnel	1.0-2.0 FTE	1.5-3.0 FTE
Tools & Platform	$50-100K	$30-75K
Training	$25-50K	$15-25K
External Support	$50-75K	$25-50K
Total	$125-225K	$200-350K

ROI Drivers

Benefit	Impact
EU AI Act compliance	Avoid fines up to 7% global revenue
Incident prevention	Reduce breach costs ($5M+ average)
Customer trust	Enable enterprise sales
Operational efficiency	Faster AI deployment (gated vs. ad-hoc)
Certification readiness	ISO 42001, SOC 2 + AI

SMB vs. Enterprise Implementation

Aspect	SMB Approach	Enterprise Approach
Governance	Single AI owner	Full board structure
Documentation	SMB Quick-Start + templates	Complete 18-document framework
Tools	Spreadsheets, free tools	GRC platform integration
Monitoring	Basic + manual review	Full observability stack
Certification	Self-assessment	ISO 42001 certification
Timeline	30 days to basic compliance	90 days to full program

Key Contacts and Governance

Role	Responsibilities
AI Risk Officer	Program ownership, escalations
Legal Counsel	Regulatory interpretation, contracts
CISO	Security reviews, incident response
Privacy Officer	Data protection, PIA reviews
Ethics Lead	Ethical reviews, bias assessment

Appendix: Quick Reference

Document Access

All 18 framework documents are available in the governance repository:

Core documents (01-10): Foundation policies and templates
Extended documents (11-18): Specialized compliance and guidance

Regulatory Quick Links

Regulation	Key Reference
EU AI Act	artificialintelligenceact.eu
NIST AI RMF	nist.gov/itl/ai-risk-management-framework
ISO 42001	iso.org/standard/42001

Framework Update Cycle

Quarterly: Regulatory monitoring, minor updates
Annual: Full framework review, major updates
Ad-hoc: Critical regulatory changes

Approved By:

Role	Name	Date
CEO / Executive Sponsor
AI Risk Officer
Legal Counsel
CISO

Document Version: 2.0
Effective Date: 2026-01-15
Next Review: 2027-01-15

CODITECT AI Risk Management Framework

Document ID: AI-RMF-10 | Version: 2.0.0 | Status: Active

AZ1.AI Inc. | CODITECT Platform

Framework Alignment: NIST AI RMF 2.0 | EU AI Act | ISO/IEC 42001

This document is part of the CODITECT AI Risk Management Framework. For questions or updates, contact the AI Governance Office.

Repository: coditect-ai-risk-management-framework Last Updated: 2026-01-15 Owner: AZ1.AI Inc. | Lead: Hal Casteel

Framework Overview​

Framework at a Glance​

Document Portfolio​

Core Governance Documents (1-10)​

Extended Compliance Documents (11-18)​

Regulatory Compliance Summary​

EU AI Act Timeline Readiness​

Standards Alignment​

Governance Structure​

Four Governance Bodies​

Decision Rights by Risk Tier​

Risk Classification Framework​

Four-Tier System​

Classification Dimensions​

AI Lifecycle Governance​

Eight Lifecycle Phases​

Gate Requirements​

Key Policy Highlights​

Prohibited AI Uses (EU AI Act Article 5)​

Enterprise "No Secrets" Rule​

GenAI and Agentic AI Controls​

Defense-in-Depth Architecture​

Agentic AI Mandatory Controls​

GPAI Compliance (EU AI Act)​

Classification Thresholds​

Key GPAI Obligations (Effective Aug 2, 2025)​

Implementation Roadmap​

30-60-90 Day Plan​

Success Metrics​

Investment Summary​

Resource Requirements​

ROI Drivers​

SMB vs. Enterprise Implementation​

Key Contacts and Governance​

Appendix: Quick Reference​

Document Access​

Regulatory Quick Links​

Framework Update Cycle​