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The governance operating model

Board, committee and the three lines around one set of gates, with the AI governance engineer in the second line and evidence flowing to audit and the board.

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The governance operating model Board, committee and the three lines around one set of gates, with the AI governance engineer in the second line and evidence flowing to audit and the board. Roles, not boxes on an org chart Board sets appetite; reads KPIs and KRIs appetite, policy AI governance committee decides what the gates cannot exceptions as data Second line sets method, policy AI governance engineer First line builds and runs inside the gates builds changes Gates Third line internal audit re-performs gate decisions Evidence store registry entries, eval results, logs The committee decides; the gates enforce. Layer 01 Govern-as-Code Layer 05 Assurance & Continuous Compliance
The governance operating model The board sets appetite, the committee decides what the gates cannot, the second line builds the gates the first line runs through, and the third line re-performs gate decisions from the same evidence the board reads as KPIs and KRIs. Name who holds each role for your AI systems, and check that internal audit stays independent of what it assures. Drawn from chapter 12.

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The board, the governing body, sets AI risk appetite and the AI policy, and reads a few indicators computed from live systems rather than self-reported: KPIs that say whether the program is doing its job and KRIs that say whether risk is moving towards the edge of appetite. The AI governance committee decides what the gates cannot (risk acceptance, exceptions, value trade-offs and policy), and its exceptions reach the gates as data. The second line (risk, compliance, privacy, security and AI governance) sets method and policy, builds the paved path and challenges first-line ratings; the AI governance engineer usually sits here, building the gates, the registry and the evidence path the first line runs. The first line (product owners, engineering and operators) builds and runs systems inside the gates and owns their risks. The gates (Layer 01 Govern-as-Code) enforce, and the evidence they leave (registry entries, eval results, runtime logs and verdicts) lands in the evidence store (Layer 05 Assurance & Continuous Compliance). The third line, internal audit, gives independent assurance by testing the gates, not the documents about them: it re-performs policy decisions for a sample of releases from the stored inputs, hunts bypasses and checks exception hygiene. The model describes roles, not boxes on an org chart; the committee decides, the gates enforce.

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Board, committee and the three lines around one set of gates, with the AI governance engineer in the second line and evidence flowing to audit and the board.
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“The governance operating model” by Jorge García Aibar, aigovernanceengineer.com (https://aigovernanceengineer.com/figures/governance-operating-model), v0.5.0. Licensed under CC BY 4.0 (https://creativecommons.org/licenses/by/4.0/).

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*[The governance operating model](https://aigovernanceengineer.com/figures/governance-operating-model) by Jorge García Aibar, aigovernanceengineer.com, v0.5.0. Licensed under [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/).*