The purpose of this Scope of Work is to establish the services, deliverables, performance expectations, and governance activities required to operate and mature an enterprise AI Governance, Risk & Compliance program. The work will enable the organization to identify, assess, approve, monitor, document, and manage the legal, regulatory, privacy, security, civil-rights, accessibility, procurement, records, ethical, operational, and reputational risks associated with artificial intelligence and automated decision technologies.
8.2 Objectives
Establish and maintain an authoritative inventory of organizational AI systems and use cases.
Create a consistent AI intake, triage, risk-classification, review, approval, monitoring, and retirement process.
Translate applicable laws, regulations, policies, standards, and governance requirements into operational controls.
Implement repeatable AI risk and compliance assessments and maintain associated evidence.
Integrate AI governance into privacy, cybersecurity, civil rights, accessibility, procurement, data governance, records, and enterprise risk processes.
Establish vendor and procurement review practices for AI-enabled products and services.
Provide continuous monitoring, issue management, incident support, and periodic reassessment.
Maintain audit-ready records and support executive oversight and reporting.
Provide training and advisory support that enables responsible adoption rather than blanket prohibition of AI.
8.3 Tasks and Workstreams
Task 1 – Program Governance and Process Management
Maintain AI governance procedures, workflows, roles, responsibilities, templates, and approval criteria.
Coordinate governance committee/working-group activities and track decisions and action items.
Maintain a centralized repository for policies, assessments, approvals, exceptions, evidence, and reports.
Task 2 – AI Inventory and Intake
Establish and maintain an inventory of AI systems, pilots, applications, models, automated decision tools, AI-enabled vendors, owners, data categories, risk levels, and approval status.
Administer intake and triage for proposed AI use cases.
Identify shadow or unregistered AI use through appropriate discovery, attestation, procurement, technology, and departmental processes.
Task 3 – AI Risk and Impact Assessment
Perform or coordinate risk assessments using an approved methodology.
Assess legal/regulatory, privacy, security, civil-rights, accessibility, equity, data, procurement, operational, reputational, and records risks.
Assign risk tier, identify required controls, establish review frequency, and document residual risk.
Escalate high-impact or high-risk use cases to designated governance authorities.
Task 4 – Compliance and Regulatory Monitoring
Maintain a current inventory of applicable AI-related laws, regulations, policies, standards, and authoritative guidance.
Maintain a compliance crosswalk mapping requirements to controls, owners, evidence, and review dates.
Prepare change-impact analyses and recommend updates to policy, procedures, contracts, training, or controls.
Task 5 – Privacy, Civil Rights, Accessibility and Data Governance
Coordinate privacy and data-governance reviews for AI systems involving sensitive or protected information.
Assess potential discrimination, disparate impact, accessibility barriers, and civil-rights concerns.
Coordinate high-impact use cases with appropriate legal, privacy, civil-rights, accessibility, and program authorities.
Document human oversight and appeal/recourse requirements where applicable.
Task 6 – Procurement and Third-Party AI Risk
Review AI-related procurement documents and contract terms.
Assess vendor representations, model/data documentation, security and privacy controls, data ownership, retention/deletion, audit rights, change notification, subcontractor use, and incident obligations.
Maintain vendor AI risk assessments and identify conditions for approval, remediation, renewal, or escalation.
Task 7 – Monitoring, Assurance and Incident Management
Monitor compliance with approved use conditions and required controls.
Conduct periodic reassessments based on risk, system changes, incidents, vendor changes, or regulatory developments.
Maintain issue and remediation tracking.
Support AI incident response, investigation, corrective action, and lessons learned.
Task 8 – Records, Evidence and Audit Support
Maintain audit-ready evidence for material AI decisions and controls.
Coordinate records retention, retrieval, disposition, and public-records considerations.
Prepare materials for audits, reviews, investigations, governance committees, and authorized oversight bodies.
Task 9 – Training and Advisory Services
Develop role-based training and practical guidance for executives, managers, procurement personnel, IT/security staff, legal/privacy personnel, and end users.
Provide advisory support to departments evaluating or using AI.
Promote responsible adoption through clear requirements, approved-use pathways, and risk-based controls.
Task 10 – Reporting and Continuous Improvement
Prepare periodic AI governance dashboards and executive reports.
Track inventory coverage, review timeliness, risk trends, compliance exceptions, remediation, incidents, training, and other KPIs.
Recommend improvements to policies, processes, controls, technology, staffing, and governance structure.
8.4 Required Deliverables
Deliverable
Minimum Content
Frequency
Acceptance Standard
AI Inventory / Registry
System/use case, owner, vendor, data, purpose, risk, status, approvals, review dates
Continuous; formal monthly/quarterly validation
Current, reconciled, traceable
AI Intake & Risk Assessment Package
Intake, risk tier, impact analysis, controls, residual risk, decision
Per material use case
Complete and approved by required authorities
AI Regulatory Crosswalk
Requirement, source, applicability, control, owner, evidence, review date
Quarterly + regulatory change
Current and traceable
Vendor AI Risk Assessment
Vendor/model/data/security/privacy/contract risks and mitigations
Per procurement/renewal/material change
Completed before required approval
AI Compliance Dashboard
Inventory, risk, approvals, exceptions, remediation, incidents, training
Monthly or quarterly
Accurate and executive-ready
AI Governance Report
Material risks, trends, decisions, exceptions, recommendations
Quarterly
Accepted by program owner
AI Governance Training
Role-based training and job aids
Initial + annual/change-driven
Completion tracked
Audit/Evidence File
Assessments, approvals, monitoring, incidents, remediation, records
Continuous
Retrievable and audit-ready
Annual Program Assessment
Maturity, gaps, risks, regulatory changes, improvement roadmap
Annual
Executive acceptance