Governance, Evidence & Records — Foundations

Governance, Evidence & Records — Foundations

Zen AI Governance — Knowledge Base • EU/UK alignment • Updated 05 Nov 2025 www.zenaigovernance.com ↗

Governance, Evidence & Records

EU AI Act Compliance Foundations EU/UK aligned
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Key takeaways
  • Governance = clear decisions, clear owners, and evidence that it happened.
  • Keep a living index that points auditors to proof in one click.

Org structure & roles

  • Accountable exec; AI Safety Lead; Data Steward; Security; Product Owners; Oversight Officer; PMM Owner.

Policies & decision rights

  • Risk appetite; approvals (build/ship/rollback); waiver policy; vendor policy; transparency standards.

Governance forums

  • Monthly Safety Review; Quarterly Governance Board; Annual Assurance; agenda templates and minutes.

Records & retention

  • Approvals, training, incidents, CAPA, PMM exports; retention schedule; legal hold workflow.

Evidence index

  • Matrix (requirement→control→evidence); snapshots per release; permalinks; integrity hashes if needed.

Independent assurance

  • Scope; independence; sampling method; findings log; remediation tracking to closure.

Training & competence

  • Role-based curricula; assessments; refresh cadence; oversight drills; records retained.

Ethics & complaints

  • Accessible channels; triage SLAs; redress; whistleblowing protection; trend analysis.

Scorecards & KPIs

  • RMS/PMM KPI pack; thresholds; “red lines”; board-ready visuals; narrative and actions.

Cadence & reviews

  • Monthly metrics; quarterly risk reviews; annual strategy and assurance cycle.

Maturity model

  • Initial → Managed → Defined → Quantitatively Managed → Optimising. Map gaps and roadmap.

Governance checklist

  • Roles set; forums live; policies signed; evidence index maintained; assurance scheduled.

© Zen AI Governance UK Ltd • Regulatory Knowledge • v1 05 Nov 2025 • This page is general guidance, not legal advice.

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