AIGO — AI Governance Operating Framework
AI System Registration Template
Version: 0.1 Status: Draft Working Name: AIGO Full Name: AI Governance Operating Framework Document Identifier:AIGO-TPL-002
Document Type: AI System Registration Template
Template Purpose: Controlled Registration of an AI System
1. Template Purpose
This template provides the structured record for registering an AI system within the AIGO AI Governance Operating Framework. The registration record establishes the authoritative baseline for identifying an AI system and connecting it to:- ownership;
- intended purpose;
- business context;
- stakeholders;
- data;
- technology;
- suppliers;
- classification;
- risk;
- lifecycle;
- controls;
- approval;
- monitoring;
- assurance;
- evidence;
- change management;
- retirement.
2. Registration Instructions
Complete all applicable fields. Where information is not available, record: Pending — [reason] Where a field does not apply, record: Not Applicable — [reason] Use stable identifiers so the registration record can be linked to other AIGO records. Recommended related identifiers include:- Risk ID;
- Control ID;
- Assessment ID;
- Approval ID;
- Incident ID;
- Change ID;
- Monitoring ID;
- Assurance ID;
- Evidence ID.
3. Registration Record
3.1 Registration Identification
AI System ID: Registration Record ID: System Name: System Version: Registration Status: Registration Date: Last Updated: Next Review Date: Registration Owner: System Owner:3.2 Registration Status
Current Status:- Proposed
- Under Assessment
- Registered
- Approved for Development
- Approved for Deployment
- Operational
- Restricted
- Suspended
- Retired
4. Organization and Business Context
4.1 Organization
Organization: Legal Entity: Business Unit: Department / Function: Geographic Scope:4.2 Business Owner
Business Owner: Role / Position: Business Responsibility: Contact / Reference:4.3 AI System Owner
AI System Owner: Role / Position: System Accountability: Contact / Reference:4.4 Technical Owner
Technical Owner: Role / Position: Technical Responsibility: Contact / Reference:5. AI System Description
5.1 System Summary
Provide a concise description of the AI system:5.2 AI Capability
Select or describe applicable capabilities:- Classification
- Prediction
- Recommendation
- Generation
- Retrieval
- Ranking
- Detection
- Decision Support
- Optimization
- Forecasting
- Conversational Interaction
- Computer Vision
- Speech / Audio Processing
- Natural Language Processing
- Other
5.3 System Function
What does the system do?5.4 Key Outputs
What outputs, recommendations, predictions, classifications, or decisions does the system produce?5.5 Output Consumers
Who receives or uses the AI system outputs?6. Intended Purpose
6.1 Intended Purpose Statement
Document the approved intended purpose:6.2 Intended Use
Describe how the AI system is intended to be used:6.3 Authorized Users
Authorized user groups:6.4 Prohibited or Restricted Uses
Prohibited uses: Restricted uses:6.5 Intended Decision Role
Does the system:- Provide information only
- Provide decision support
- Recommend an action
- Automatically execute an action
- Make or materially influence a decision
- Other
7. AI System Context
7.1 Operating Context
Describe the environment in which the AI system operates:7.2 Business Process
Business process supported:7.3 Operational Dependency
How dependent is the business process on the AI system?7.4 Criticality
Business Criticality:- Low
- Medium
- High
- Critical
8. Stakeholders and Affected Persons
8.1 Stakeholders
8.2 Affected Persons
Who may be affected by the system or its outputs?8.3 Potential Impacts
Potential impacts may include:- financial;
- operational;
- legal;
- privacy;
- security;
- safety;
- fairness;
- employment;
- access;
- reputation;
- individual rights or interests;
- societal impact.
9. Lifecycle Information
9.1 Current Lifecycle Stage
Select the applicable AIGO lifecycle stage:- Govern
- Identify
- Classify
- Assess
- Treat
- Approve
- Deploy
- Operate
- Monitor
- Assure
- Improve
- Change
- Continue
- Retire
9.2 Lifecycle Status
Lifecycle Status:9.3 Lifecycle Entry Date
Date Entered Current Stage:9.4 Lifecycle Owner
Lifecycle / Process Owner:9.5 Planned Next Stage
Next Expected Lifecycle Stage: Entry Conditions:10. Development and Deployment Information
10.1 Development Status
Development Status:- Not Started
- In Development
- Testing
- Validated
- Approved
- Operational
- Retired
10.2 Deployment Environment
Select applicable environments:- Development
- Test
- Staging
- Production
- Restricted Production
- Other
10.3 Deployment Location
Hosting / Deployment Location:10.4 Deployment Scope
Countries / Business Units / User Groups / Locations:11. Model Information
11.1 Model Identifier
Model ID: Model Name: Model Version:11.2 Model Type
Model Type / Architecture:11.3 Model Provider
Model Provider: Provider Type:- Internal
- External
- Open Source
- Commercial
- Managed Service
- Other
11.4 Model Dependencies
Model dependencies:11.5 Model Documentation
Model Documentation Reference:12. Data Information
12.1 Data Categories
Select applicable categories:- Public
- Internal
- Confidential
- Personal Data
- Sensitive Personal Data
- Financial Data
- Health Data
- Employee Data
- Customer Data
- Proprietary Data
- Operational Data
- Other
12.2 Data Sources
12.3 Data Use
Describe how data is used by the AI system:12.4 Data Retention
Retention Requirement:12.5 Data Quality
Data Quality Requirements: Data Quality Owner:13. Data Governance
13.1 Data Governance Assessment
Data governance requirements applicable:13.2 Data Ownership
Data Owner:13.3 Data Access
Who can access the data?13.4 Data Controls
Applicable controls may include:- access control;
- data minimization;
- data quality;
- data validation;
- lineage;
- retention;
- deletion;
- confidentiality;
- integrity.
13.5 Data Evidence
Supporting Data Governance Evidence IDs:14. Technology Architecture
14.1 System Architecture
Architecture Description:14.2 Main Components
14.3 Integrations
Systems / APIs / Services Integrated:14.4 Dependencies
Technical Dependencies:15. Third-Party and Supply-Chain Information
15.1 Third-Party Services
15.2 Supplier Risk
Supplier / Third-Party Risk Assessment Reference:15.3 Supplier Change Notification
Supplier change notification mechanism:15.4 Supplier Incident Notification
Supplier incident notification requirements:15.5 Supplier Assurance
Supplier assurance / evidence reference:16. AI Classification
16.1 Classification
AIGO Classification: Classification Date: Classification Owner: Classification Reviewer: Classification Approval Authority:16.2 Classification Factors
Classification may consider:- intended purpose;
- affected persons;
- decision significance;
- autonomy;
- impact;
- risk;
- data sensitivity;
- security;
- privacy;
- fairness;
- safety;
- scale;
- reversibility;
- regulatory requirements;
- human oversight.
16.3 Classification Rationale
Classification Rationale:16.4 Reclassification Triggers
Known Reclassification Triggers:17. Risk Information
17.1 Risk Assessment Status
Risk Assessment Status:- Not Started
- Planned
- In Progress
- Complete
- Approved
- Reassessment Required
17.2 Risk Assessment Reference
Risk Assessment ID: Risk Assessment Date: Risk Assessment Owner:17.3 Overall Risk
Overall Inherent Risk: Overall Residual Risk: Risk Status:17.4 Key Risks
17.5 Risk Acceptance
Residual Risk Acceptance Required: Risk Acceptance Record ID: Acceptance Authority:18. Governance Requirements
18.1 Applicable Governance Requirements
18.2 Governance Conditions
Governance Conditions:19. Control Information
19.1 Applicable Controls
19.2 Critical Controls
Critical Controls:19.3 Control Exceptions
Control Exceptions: Exception Record IDs:20. Human Oversight
20.1 Human Oversight Requirement
Human Oversight Required:20.2 Oversight Role
Responsible Role:20.3 Oversight Activities
- review;
- challenge;
- override;
- escalation;
- approval;
- decision;
- monitoring.
20.4 Human Authority
Who has final decision authority where applicable?20.5 Oversight Evidence
Evidence IDs:21. Security Governance
21.1 Security Classification
Security Classification:21.2 Security Assessment
Security Assessment ID: Assessment Status:21.3 Security Controls
Applicable Security Controls:21.4 Security Monitoring
Security Monitoring Requirements:21.5 Security Evidence
Security Evidence IDs:22. Privacy Governance
22.1 Privacy Applicability
Privacy Requirements Applicable:22.2 Privacy Assessment
Privacy Assessment ID: Assessment Status:22.3 Privacy Controls
Applicable Privacy Controls:22.4 Privacy Monitoring
Privacy Monitoring Requirements:22.5 Privacy Evidence
Privacy Evidence IDs:23. Fairness, Impact, and Responsible AI
23.1 Applicability
Fairness / Impact Assessment Applicable:23.2 Assessment Reference
Assessment ID:23.3 Key Considerations
Potential considerations include:- fairness;
- discrimination;
- accessibility;
- human impact;
- stakeholder impact;
- transparency;
- explainability;
- safety;
- societal impact.
23.4 Assessment Results
Summary of Results:24. Testing and Validation
24.1 Testing Status
Testing Status:24.2 Testing Types
Applicable testing may include:- functional testing;
- performance testing;
- validation;
- security testing;
- privacy testing;
- fairness testing;
- robustness testing;
- explainability testing;
- human oversight testing;
- resilience testing.
24.3 Test Records
24.4 Validation Result
Validation Status: Validation Conclusion:25. Approval Information
25.1 Approval Status
Approval Status:- Not Required
- Pending
- Approved
- Approved with Conditions
- Deferred
- Rejected
- Suspended
25.2 Approval Record
Approval ID: Approval Authority: Approval Date: Effective Date: Review Date:25.3 Approval Conditions
Conditions:25.4 Approval Evidence
Approval Evidence IDs:26. Deployment Authorization
26.1 Deployment Status
Deployment Status:- Not Started
- Planned
- Ready
- Approved
- Deployed
- Restricted
- Suspended
- Retired
26.2 Deployment Authorization
Deployment Authorization ID: Authorized By: Authorization Date:26.3 Deployment Conditions
Conditions:26.4 Deployment Evidence
Evidence IDs:27. Monitoring
27.1 Monitoring Status
Monitoring Status: Monitoring Owner: Monitoring Plan ID:27.2 Monitoring Requirements
27.3 Enhanced Monitoring
Enhanced Monitoring Required: Trigger: Duration:27.4 Monitoring Escalation
Monitoring escalation process:28. Incident Management
28.1 Incident Status
Incident Process Applicable: Incident Procedure:28.2 Incident Triggers
Potential triggers include:- material harm;
- control failure;
- security incident;
- privacy incident;
- fairness issue;
- significant model failure;
- unauthorized operation;
- material monitoring threshold breach.
28.3 Incident Records
29. Change Management
29.1 Change Status
Change Management Applicable: Change Procedure:29.2 Material Change Criteria
Potential material changes include:- intended-purpose changes;
- model changes;
- model-version changes;
- data changes;
- supplier changes;
- feature changes;
- architecture changes;
- control changes;
- human-oversight changes;
- deployment changes.
29.3 Change Records
30. Assurance
30.1 Assurance Status
Assurance Required: Assurance Frequency: Assurance Owner: Assurance Procedure:30.2 Assurance Records
30.3 Open Assurance Findings
31. Evidence and Records
31.1 Evidence Repository
Evidence Repository: Evidence Owner:31.2 Key Evidence
31.3 Evidence Completeness
Evidence Status:- Complete
- Substantially Complete
- Partially Complete
- Incomplete
- Under Review
31.4 Record Retention
Retention Requirement: Retention Owner: Retention Location: Disposition Requirement:32. Current Governance Status
32.1 Overall Status
Current AI System Governance Status:- Under Registration
- Under Assessment
- Conditional
- Approved
- Operational
- Restricted
- Under Review
- Suspended
- Retiring
- Retired
32.2 Status Rationale
Reason for Current Status:32.3 Governance Conditions
Current Conditions:32.4 Open Actions
33. Review and Reassessment
33.1 Periodic Review
Review Frequency: Next Review Date: Review Owner:33.2 Triggered Review
Reassessment should be considered after:- significant incidents;
- material changes;
- risk changes;
- control failures;
- significant monitoring deviations;
- classification changes;
- regulatory changes;
- supplier changes;
- material stakeholder concerns.
33.3 Reassessment Outcome
Latest Reassessment Date: Outcome: Required Actions:34. Continual Improvement
34.1 Improvement Opportunities
Improvement Opportunities:34.2 Improvement Records
35. Retirement
35.1 Retirement Status
Retirement Status:- Not Planned
- Under Consideration
- Approved
- In Progress
- Completed
35.2 Retirement Trigger
Reason / Trigger:35.3 Retirement Approval
Retirement Approval ID: Approval Authority: Approval Date:35.4 Retirement Evidence
Retirement Evidence IDs:36. Registration Approval
36.1 Registration Review
Prepared By: Role: Date: Reviewed By: Role: Date:36.2 Registration Decision
Decision:- Registered
- Registered with Conditions
- Deferred
- Rejected
36.3 Registration Authority
Approval / Registration Authority: Decision Date:37. Registration Change History
38. Registration Traceability
The registration record should maintain traceability to relevant AIGO records.39. Registration Completion Checklist
- AI System ID assigned
- System name recorded
- Organization recorded
- Business owner assigned
- AI system owner assigned
- Technical owner assigned
- Purpose documented
- Intended use documented
- Restricted / prohibited use documented
- Stakeholders identified
- Affected persons identified
- Lifecycle stage assigned
- Deployment context recorded
- Model information recorded
- Data information recorded
- Third-party dependencies recorded
- Classification recorded
- Risk information linked
- Applicable controls linked
- Human oversight documented
- Security requirements assessed
- Privacy requirements assessed
- Testing / validation status recorded
- Approval status recorded
- Monitoring requirements recorded
- Incident process linked
- Change process linked
- Assurance requirements recorded
- Evidence repository identified
- Current governance status recorded
- Review date established
- Related records linked
- Registration decision recorded
40. Template Usage Instructions
This template should be completed according to the organization’s approved AIGO AI System Registration Procedure. The registration record should be maintained as a controlled record throughout the AI system lifecycle. Registration information should be updated when material information changes, including:- intended purpose;
- system ownership;
- classification;
- risk;
- model;
- data;
- suppliers;
- lifecycle stage;
- deployment environment;
- controls;
- approval status;
- monitoring status;
- retirement status.
- risk assessments;
- control assessments;
- approvals;
- incident records;
- change records;
- assurance records;
- evidence records.
41. Template Governance
41.1 Template Owner
Template Owner:41.2 Template Review
Review Frequency: Next Review Date:41.3 Template Change Control
Changes to this template should be managed through the applicable AIGO document and change-management process. Material changes should consider their effect on:- AI System Registration Procedure;
- AI System Profile;
- Classification Procedure;
- Risk Assessment Procedure;
- Control Assessment;
- Approval;
- Monitoring;
- Assurance;
- schemas;
- mappings;
- tools.
42. Document Control
43. Template Status
Document: AIGO — AI System Registration Template Version: 0.1 Status: Draft Working Name: AIGO Full Name: AI Governance Operating Framework Document Identifier:AIGO-TPL-002
Document Type: AI System Registration Template
This template provides the controlled registration structure for identifying an AI system and maintaining its governance baseline throughout the AIGO lifecycle.
44. End of Template
AIGO — AI System Registration Template Document ID:AIGO-TPL-002
Version: 0.1
Status: Draft
End of Template