AIGO — AI Governance Operating Framework
AI System Profile Template
Version: 0.1 Status: Draft Working Name: AIGO Full Name: AI Governance Operating Framework Document Identifier:AIGO-TPL-003
Document Type: AI System Profile Template
Template Purpose: Controlled Profile of an AI System
1. Template Purpose
This template provides the detailed profile of an AI system registered within the AIGO AI Governance Operating Framework. The AI System Profile expands upon the basic registration record by documenting the system’s:- purpose;
- intended and restricted uses;
- business context;
- stakeholders;
- lifecycle;
- technical architecture;
- model;
- data;
- interfaces;
- dependencies;
- human oversight;
- risk characteristics;
- controls;
- monitoring;
- security;
- privacy;
- fairness and impact considerations;
- testing and validation;
- operational constraints;
- governance status;
- evidence;
- change history.
2. Template Completion Instructions
Complete all applicable fields. Where information is not yet available, record: Pending — [reason] Where a field does not apply, record: Not Applicable — [reason] Use controlled identifiers wherever possible. Recommended identifiers include:- AI System ID;
- Profile ID;
- Risk ID;
- Control ID;
- Assessment ID;
- Approval ID;
- Change ID;
- Incident ID;
- Monitoring ID;
- Assurance ID;
- Evidence ID.
3. Profile Identification
3.1 Profile Record
AI System ID: Profile Record ID: System Name: System Short Name / Acronym: System Version: Profile Version: Profile Status: Profile Owner: System Owner: Business Owner: Technical Owner: Date Created: Last Updated: Next Review Date:3.2 Profile Status
Current Status:- Draft
- Under Review
- Approved
- Operational
- Restricted
- Suspended
- Under Change
- Retiring
- Retired
4. System Overview
4.1 Executive Description
Provide a concise description of the AI system:4.2 System Objective
What organizational objective does the system support?4.3 Business Process
Business process supported:4.4 Primary Function
Primary system function:4.5 AI Capability
Select or describe applicable capabilities:- Classification
- Prediction
- Recommendation
- Ranking
- Generation
- Retrieval
- Detection
- Optimization
- Forecasting
- Decision Support
- Conversational Interaction
- Natural Language Processing
- Computer Vision
- Speech / Audio
- Multimodal Processing
- Other
5. Intended Purpose and Use
5.1 Intended Purpose
Approved intended purpose:5.2 Intended Use
Describe the approved use of the system:5.3 Intended Users
Authorized user groups:5.4 Intended Operating Conditions
Conditions under which the system is intended to operate:5.5 Restricted Uses
Restricted uses:5.6 Prohibited Uses
Prohibited uses:5.7 Misuse Considerations
Foreseeable misuse or inappropriate use scenarios:5.8 Use Limitations
Known limitations on system use:6. System Context
6.1 Organizational Context
Relevant organizational context:6.2 Operational Context
Operational environment:6.3 Regulatory / Jurisdictional Context
Jurisdictions and regulatory context:6.4 Business Criticality
Business Criticality:- Low
- Medium
- High
- Critical
6.5 Dependency Criticality
Dependency on system availability or outputs:7. Stakeholders and Affected Persons
7.1 Stakeholders
7.2 Affected Persons
Who may be affected by the system or its outputs?7.3 Impacted Groups
Groups potentially affected by system operation:7.4 Stakeholder Engagement
Engagement activities: Stakeholder Evidence IDs:8. System Lifecycle
8.1 Current Lifecycle Stage
Select the applicable AIGO lifecycle stage:- Govern
- Identify
- Classify
- Assess
- Treat
- Approve
- Deploy
- Operate
- Monitor
- Assure
- Improve
- Change
- Continue
- Retire
8.2 Lifecycle History
8.3 Next Lifecycle Stage
Planned Next Stage: Entry Conditions: Exit Conditions:9. System Architecture
9.1 Architecture Description
System architecture summary:9.2 Architecture Diagram Reference
Architecture Diagram ID / Location:9.3 Major Components
9.4 Interfaces
9.5 Technical Dependencies
Technical dependencies:10. Model Profile
10.1 Model Identification
Model ID: Model Name: Model Version: Model Family:10.2 Model Type
Model Type / Architecture:10.3 Model Purpose
Role of the model within the AI system:10.4 Model Provider
Provider: Provider Type:- Internal
- External
- Open Source
- Commercial
- Managed Service
- Other
10.5 Model Version Control
Model version-control process:10.6 Model Dependencies
Model dependencies:10.7 Model Documentation
Model Documentation Reference:10.8 Model Limitations
Known model limitations:11. Data Profile
11.1 Data Categories
Select applicable categories:- Public
- Internal
- Confidential
- Proprietary
- Personal Data
- Sensitive Personal Data
- Employee Data
- Customer Data
- Financial Data
- Health Data
- Operational Data
- Technical Data
- Other
11.2 Data Sources
11.3 Data Inputs
Primary data inputs:11.4 Data Outputs
Data outputs generated by the system:11.5 Data Processing
Describe how data is processed:11.6 Data Transformation
Data transformations or preprocessing:11.7 Data Quality
Data quality requirements: Data Quality Owner:11.8 Data Lineage
Data lineage reference:11.9 Data Retention
Retention Requirements:11.10 Data Disposal
Disposal / deletion requirements:12. Data Governance
12.1 Data Ownership
Data Owner:12.2 Data Access
Authorized data access roles:12.3 Data Controls
Applicable controls may include:- data minimization;
- validation;
- quality monitoring;
- lineage;
- access control;
- retention;
- deletion;
- confidentiality;
- integrity;
- provenance.
12.4 Data Governance Assessment
Assessment ID: Assessment Status: Assessment Date:12.5 Data Governance Evidence
Evidence IDs:13. User Interaction
13.1 User Types
13.2 User Workflow
Describe the typical user interaction:13.3 User Responsibilities
User responsibilities:13.4 User Restrictions
Restrictions:14. Human Oversight
14.1 Oversight Requirement
Human Oversight Required:14.2 Oversight Model
Select applicable model:- Human-in-the-loop
- Human-on-the-loop
- Human-in-command
- Human review only
- No human intervention
- Other
14.3 Oversight Role
Responsible Role:14.4 Human Authority
Who has authority to challenge, override, approve, or reject AI outputs?14.5 Oversight Activities
- review;
- challenge;
- override;
- escalation;
- approval;
- decision;
- monitoring.
14.6 Oversight Limitations
Known limitations:14.7 Oversight Evidence
Evidence IDs:15. AI Outputs and Decision Impact
15.1 Output Types
15.2 Decision Influence
Does the AI output influence a decision?- No
- Limited
- Moderate
- Significant
- Critical
15.3 Final Decision Authority
Final decision-maker:15.4 Reversibility
Can decisions influenced by the AI system be reversed?- Fully
- Substantially
- Partially
- Limited
- No
16. AI Classification Profile
16.1 Governance Classification
AIGO Classification: Classification Date: Classification Owner: Reviewer: Approval Authority:16.2 Classification Factors
Classification may consider:- intended purpose;
- affected persons;
- decision significance;
- autonomy;
- impact;
- potential harm;
- data sensitivity;
- security;
- privacy;
- fairness;
- safety;
- deployment scale;
- reversibility;
- regulatory requirements;
- human oversight.
16.3 Classification Rationale
Rationale:16.4 Reclassification Triggers
Triggers:17. Risk Profile
17.1 Risk Assessment
Risk Assessment ID: Risk Assessment Date: Risk Owner: Assessment Status:17.2 Overall Risk
Inherent Risk: Residual Risk: Risk Status:17.3 Key Risks
17.4 Risk Categories
Potential categories include:- Governance
- Strategic
- Legal / Regulatory
- Privacy
- Security
- Fairness
- Safety
- Reliability
- Robustness
- Transparency
- Explainability
- Human Oversight
- Data
- Model
- Operational
- Third Party
- Reputational
- Financial
- Other
17.5 Risk Acceptance
Residual Risk Acceptance Required: Risk Acceptance Record ID: Acceptance Authority:18. Control Profile
18.1 Applicable Controls
18.2 Critical Controls
Critical controls:18.3 Control Effectiveness
Overall Control Effectiveness:18.4 Control Exceptions
Exceptions: Exception Record IDs:19. Security Profile
19.1 Security Classification
Security Classification:19.2 Security Architecture
Security Architecture Reference:19.3 Security Controls
Applicable Security Controls:19.4 Security Assessment
Security Assessment ID: Assessment Status:19.5 Security Monitoring
Security Monitoring Requirements:19.6 Security Incidents
Security Incident Record IDs:20. Privacy Profile
20.1 Privacy Applicability
Privacy Requirements Applicable:20.2 Privacy Assessment
Privacy Assessment ID: Assessment Status:20.3 Privacy Controls
Applicable Privacy Controls:20.4 Privacy Monitoring
Privacy Monitoring Requirements:20.5 Privacy Incidents
Privacy Incident Record IDs:21. Fairness, Impact, and Responsible AI Profile
21.1 Applicability
Fairness / Impact Assessment Applicable:21.2 Assessment Reference
Assessment ID: Assessment Date:21.3 Potential Impact Areas
Potential considerations include:- fairness;
- discrimination;
- accessibility;
- individual impact;
- stakeholder impact;
- transparency;
- explainability;
- safety;
- societal impact.
21.4 Assessment Summary
Summary:21.5 Monitoring Requirements
Fairness / Impact Monitoring:22. Model Performance and Validation
22.1 Performance Requirements
Performance Objectives:22.2 Performance Metrics
22.3 Validation Status
Validation Status: Validation ID: Validation Date: Validation Owner:22.4 Testing
Applicable testing may include:- functional;
- performance;
- robustness;
- security;
- privacy;
- fairness;
- explainability;
- human oversight;
- resilience;
- regression.
22.5 Testing Evidence
Evidence IDs:22.6 Known Performance Limitations
Limitations:23. Monitoring Profile
23.1 Monitoring Plan
Monitoring Plan ID: Monitoring Owner: Monitoring Frequency:23.2 Monitoring Indicators
23.3 Enhanced Monitoring
Enhanced Monitoring Required: Trigger: Duration:23.4 Monitoring Status
Current Monitoring Status: Open Monitoring Issues:24. Incident Profile
24.1 Incident Management
Incident Procedure: Incident Owner:24.2 Incident Triggers
Incident Trigger Conditions:24.3 Incident History
25. Change Profile
25.1 Change Management
Change Procedure: Change Owner:25.2 Change History
25.3 Known Change Triggers
Material change triggers:- model change;
- model version change;
- data change;
- purpose change;
- supplier change;
- architecture change;
- user population change;
- control change;
- regulatory change.
26. Third-Party Profile
26.1 Suppliers
26.2 Supplier Risk
Supplier Risk Assessment ID: Risk Level:26.3 Supplier Controls
Applicable Supplier Controls:26.4 Supplier Assurance
Assurance Evidence:27. Operational Profile
27.1 Operating Environment
Production Environment: Operating Location: Operating Hours / Availability:27.2 Operational Dependencies
Operational dependencies:27.3 Business Continuity
Business Continuity Requirements:27.4 Recovery Requirements
Recovery Objectives / Requirements:27.5 Service Ownership
Operational Owner: Support Owner:28. Approval and Authorization Profile
28.1 Approval Status
Current Approval Status:- Not Required
- Pending
- Approved
- Approved with Conditions
- Deferred
- Rejected
- Suspended
28.2 Approval Record
Approval ID: Approval Authority: Approval Date: Effective Date: Review Date:28.3 Approval Conditions
Conditions:28.4 Deployment Authorization
Deployment Authorization ID: Authorized By: Authorization Date:29. Evidence Profile
29.1 Evidence Repository
Evidence Repository: Evidence Owner:29.2 Key Evidence
29.3 Evidence Status
Evidence Completeness:- Complete
- Substantially Complete
- Partially Complete
- Incomplete
- Under Review
29.4 Evidence Retention
Retention Requirement: Retention Owner: Disposition Requirement:30. Assurance Profile
30.1 Assurance Requirements
Assurance Required: Assurance Frequency: Assurance Owner:30.2 Assurance Records
30.3 Open Findings
31. Governance Status
31.1 Current Status
AI System Governance Status:- Under Registration
- Under Assessment
- Approved
- Operational
- Restricted
- Under Review
- Suspended
- Retiring
- Retired
31.2 Status Rationale
Rationale:31.3 Current Governance Conditions
Conditions:31.4 Open Actions
32. Review and Reassessment
32.1 Periodic Review
Review Frequency: Next Review Date: Review Owner:32.2 Triggered Review
Review should be considered after:- significant incidents;
- material changes;
- material risk changes;
- control failures;
- significant monitoring deviations;
- classification changes;
- regulatory changes;
- supplier changes;
- material stakeholder concerns.
32.3 Latest Review
Review Date: Review Outcome: Required Actions:33. Continual Improvement
33.1 Improvement Sources
Improvement opportunities may originate from:- monitoring;
- incidents;
- assurance;
- risk assessments;
- control assessments;
- stakeholder feedback;
- management review;
- changes;
- lessons learned;
- technology developments;
- regulatory developments.
33.2 Improvement Records
34. Retirement Profile
34.1 Retirement Status
Retirement Status:- Not Planned
- Under Consideration
- Approved
- In Progress
- Completed
34.2 Retirement Trigger
Reason / Trigger:34.3 Retirement Approval
Retirement Approval ID: Approval Authority: Approval Date:34.4 Retirement Evidence
Evidence IDs:35. Profile Review and Approval
35.1 Prepared By
Name: Role: Date:35.2 Reviewed By
Name: Role: Date:35.3 Approved By
Name: Role: Date:35.4 Profile Decision
Decision:- Approved
- Approved with Conditions
- Returned for Revision
- Rejected
- Deferred
36. Profile Change History
37. Profile Traceability
The AI System Profile should maintain links to relevant AIGO records.38. Profile Completion Checklist
- Profile ID assigned
- AI System ID assigned
- System name recorded
- System owner assigned
- Business owner assigned
- Technical owner assigned
- System objective documented
- Intended purpose documented
- Intended use documented
- Restricted uses documented
- Prohibited uses documented
- Operating context documented
- Stakeholders identified
- Affected persons identified
- Lifecycle stage recorded
- Architecture documented
- Model profile completed
- Data profile completed
- Data governance documented
- User interaction documented
- Human oversight documented
- Decision impact documented
- Classification recorded
- Risk profile linked
- Controls linked
- Security profile completed
- Privacy profile completed where applicable
- Fairness / impact profile completed where applicable
- Testing and validation recorded
- Monitoring profile completed
- Incident profile completed
- Change profile completed
- Third-party profile completed where applicable
- Operational profile completed
- Approval status recorded
- Evidence profile completed
- Assurance profile completed
- Current governance status recorded
- Review date established
- Improvement records linked
- Retirement status recorded
- Related AIGO records linked
- Profile reviewed and approved
39. Template Usage Instructions
This template should be completed according to the organization’s approved AI System Registration, Governance, Classification, Risk Assessment, Control Assessment, Approval, Monitoring, Assurance, Change Management, Incident Management, and Retirement procedures. The AI System Profile should serve as the detailed controlled description of the AI system throughout its lifecycle. The profile should be updated when material information changes, including:- purpose;
- system architecture;
- model;
- model version;
- data;
- stakeholders;
- users;
- classification;
- risk;
- controls;
- suppliers;
- deployment environment;
- monitoring;
- approval;
- lifecycle stage.
40. Template Governance
40.1 Template Owner
Template Owner:40.2 Template Review
Review Frequency: Next Review Date:40.3 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 Profiles;
- Classification Procedure;
- Risk Assessment Procedure;
- Control Assessment Procedure;
- Approval Procedure;
- Monitoring Procedure;
- Assurance Procedure;
- Incident Management Procedure;
- Change Management Procedure;
- Retirement Procedure;
- Evidence architecture;
- schemas;
- mappings;
- tools.
41. Document Control
42. Template Status
Document: AIGO — AI System Profile Template Version: 0.1 Status: Draft Working Name: AIGO Full Name: AI Governance Operating Framework Document Identifier:AIGO-TPL-003
Document Type: AI System Profile Template
This template provides the detailed controlled profile of an AI system and establishes the baseline information required to support AIGO governance, risk management, lifecycle management, control assessment, approval, monitoring, assurance, change management, and retirement.
43. End of Template
AIGO — AI System Profile Template Document ID:AIGO-TPL-003
Version: 0.1
Status: Draft
End of Template