> ## Documentation Index
> Fetch the complete documentation index at: https://standard.aiuc-1.com/llms.txt
> Use this file to discover all available pages before exploring further.

# E004: Assign accountability

export const InlineClock = ({city, timeZone}) => {
  const [time, setTime] = useState('--:--:--');
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      second: '2-digit',
      hour12: false,
      timeZone
    }).format(new Date()));
    update();
    const id = setInterval(update, 1000);
    return () => clearInterval(id);
  }, [timeZone]);
  return <div className="aiuc-footer-clock">
      <span className="aiuc-footer-clock-city">{city}</span>
      <span className="aiuc-footer-clock-time">{time}</span>
    </div>;
};

Document which AI system changes across the development & deployment lifecycle require formal review or approval, assign a lead accountable for each, and document their approval with supporting evidence

<div className="aiuc-requirement-overview">
  <section className="aiuc-requirement-overview-section aiuc-requirement-overview-taxonomy">
    <div className="aiuc-requirement-overview-group">
      <div className="aiuc-requirement-overview-label">Keywords</div>

      <div className="aiuc-requirement-overview-pill-list">
        <span className="aiuc-requirement-overview-pill">Decision Owners</span>
        <span className="aiuc-requirement-overview-pill">Deployment</span>
      </div>
    </div>
  </section>

  <section className="aiuc-requirement-overview-section aiuc-requirement-overview-details">
    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Application</div>
      <span className="aiuc-requirement-overview-pill">Mandatory</span>
    </div>

    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Frequency</div>
      <span className="aiuc-requirement-overview-pill">Every 12 months</span>
    </div>

    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Type</div>
      <span className="aiuc-requirement-overview-pill">Preventative</span>
    </div>

    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Capabilities</div>

      <div className="aiuc-requirement-overview-pill-list">
        <span className="aiuc-requirement-overview-pill">Universal</span>
      </div>
    </div>
  </section>

  <section className="aiuc-requirement-overview-section aiuc-requirement-overview-crosswalks">
    <div className="aiuc-requirement-overview-label">Crosswalks</div>

    <div className="aiuc-requirement-crosswalk-grid">
      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">MITRE ATLAS</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Knowledge base of adversarial tactics, techniques and mitigation strategies for machine learning systems, similar to MITRE ATT&CK for cybersecurity" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/mitre-atlas" title="Enforce binary and application integrity with digital signature verification to prevent untrusted code from executing. Adversaries can embed malicious code in…">AML-M0013: Code Signing</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">EU AI Act</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="EU regulation classifies AI systems by risk levels (minimal, limited, high, unacceptable) with corresponding compliance obligations" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/eu-ai-act" title="The EU AI Act requires providers of high-risk AI systems to establish a quality management system. This system must be documented and include strategies for re…">Article 17: Quality Management System</a>
          <a href="/crosswalks/eu-ai-act" title="This article states that providers of high-risk AI systems must keep certain documents for 10 years after the system is released. These documents include techn…">Article 18: Documentation Keeping</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">ISO 42001</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="International standard for AI management systems (AIMS) covering responsible AI development and deployment" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/iso-42001" title="Roles and responsibilities for AI shall be defined and allocated according to the needs of the organization.">A.3.2: AI roles and responsibilities</a>
          <a href="/crosswalks/iso-42001" title="As part of resource identification, the organization shall document information about the human resources and their competences utilized for the development, d…">A.4.6: Human resources</a>
          <a href="/crosswalks/iso-42001" title="The organization shall specify and document requirements for new AI systems or material enhancements to existing systems.">A.6.2.2: AI system requirements and specification</a>
          <a href="/crosswalks/iso-42001" title="The organization shall ensure that responsibilities within their AI system life cycle are allocated between the organization, its partners, suppliers, customer…">A.10.2: Allocating responsibilities</a>
          <a href="/crosswalks/iso-42001" title="Top management shall demonstrate leadership and commitment to the AI management system and its effectiveness.">5.1: Leadership and commitment</a>
          <a href="/crosswalks/iso-42001" title="Top management shall assign roles, responsibilities, and authorities for the AI management system.">5.3: Roles, responsibilities and authorities</a>
          <a href="/crosswalks/iso-42001" title="The organization shall ensure competence of persons working under its control based on education, training, or experience.">7.2: Competence</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">NIST AI RMF</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="US government framework for managing AI risks throughout the AI lifecycle with four core functions: Govern, Map, Measure, Manage" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/nist-ai-rmf" title="Roles and responsibilities and lines of communication related to mapping, measuring, and managing AI risks are documented and are clear to individuals and team…">GOVERN 2.1: Roles and responsibilities</a>
          <a href="/crosswalks/nist-ai-rmf" title="Executive leadership of the organization takes responsibility for decisions about risks associated with AI system development and deployment.">GOVERN 2.3: Executive accountability</a>
          <a href="/crosswalks/nist-ai-rmf" title="Processes for human oversight are defined, assessed, and documented in accordance with organizational policies from GOVERN function.">MAP 3.5: Human oversight</a>
          <a href="/crosswalks/nist-ai-rmf" title="Risks associated with transparency and accountability – as identified in the MAP function – are examined and documented.">MEASURE 2.8: Transparency and accountability</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">CSA AICM</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Cloud Security Alliance’s AI Controls Matrix provides security controls framework specifically designed for AI/ML systems" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/csa-aicm" title="Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for application security. Review and update the policies and pr…">AIS-01: Application and Interface Security Policy and Procedures</a>
          <a href="/crosswalks/csa-aicm" title="Define and implement a software development lifecycle (SDLC) process for application requirements analysis, planning, design, development, testing, deployment,…">AIS-04: Secure Application Development Lifecycle</a>
          <a href="/crosswalks/csa-aicm" title="Include provisions limiting changes directly impacting customer ownedenvironments/tenants to explicitly authorized requests within service level agreements.">CCC-05: Change Agreements</a>
          <a href="/crosswalks/csa-aicm" title="Implement a change management procedure to manage the risks associated with applying changes to assets owned, controlled or used by the organization.">CCC-03: Change Management Technology</a>
          <a href="/crosswalks/csa-aicm" title="Define and implement cryptographic, encryption and key managementroles and responsibilities.">CEK-02: CEK Roles and Responsibilities</a>
          <a href="/crosswalks/csa-aicm" title="Define and document roles and responsibilities for planning, implementing,operating, assessing, and improving governance programs.">GRC-06: Governance Responsibility Model</a>
          <a href="/crosswalks/csa-aicm" title="Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for managing the risks associated with applying changes to asse…">CCC-01: Change Management Policy and Procedures</a>
          <a href="/crosswalks/csa-aicm" title="Sign models cryptographically and verify signatures to ensure model provenance and ownership, any time the model changes hands or is loaded from storage.">MDS-09: Model Signing/Ownership Verification</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">IBM AI Risk Atlas</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Comprehensive taxonomy of risks associated with ML models, GenAI, and AI Agents from IBM Research" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/ibm-ai-risk-atlas" title="Assigning responsibility for an action taken by an agentic AI system is difficult due to the complexity of agents and the number of external resources, tools o…">IBM 15: Agentic AI - Accountability of AI agent actions</a>
          <a href="/crosswalks/ibm-ai-risk-atlas" title="Determining who is responsible for an AI model is challenging without good documentation and governance processes. The use of synthetic data in model developme…">IBM 89: Non-Technical - Legal accountability</a>
        </div>
      </div>
    </div>
  </section>
</div>

<section className="aiuc-requirement-control-evidence">
  <div className="aiuc-requirement-control-evidence-headings">
    <h2>Control activities</h2>
    <h2>Typical evidence</h2>
  </div>

  <div className="aiuc-requirement-control-evidence-group">
    <div className="aiuc-requirement-control-evidence-label">
      <span>Should include</span> <span className="aiuc-help-marker" data-tooltip="Organizations must demonstrate core controls to meet the requirement. Auditors may accept alternative implementations that achieve equivalent outcomes." tabIndex="0">?</span>
    </div>

    <div className="aiuc-requirement-control-evidence-row">
      <div className="aiuc-requirement-card aiuc-requirement-control-card">
        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Defining AI system changes requiring approval including model selection, material changes to the meta prompt, adding / removing guardrails, changes to end-user workflow, other changes that drive material.</strong> For example, +/-10% performance on evals.</p>
        </div>

        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Assigning an accountable lead as approver for each of these changes.</strong> Can follow a RACI structure to formalize roles of those consulted and informed.</p>
        </div>
      </div>

      <div className="aiuc-requirement-card aiuc-requirement-evidence-card">
        <div className="aiuc-requirement-evidence-title">E004.1 Documentation: Change approval policy and records</div>
        <p>Documentation or policy defining which AI system changes require approval with assigned accountable leads, and approval records showing sign-offs with supporting evidence. Can be a change management policy, overview table in e.g. Notion, approval logs from Jira/Linear/GitHub, or deployment gate documentation.</p>

        <div className="aiuc-requirement-evidence-meta">
          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Category</div>
            <a href="/evidence/operational-practices">Operational Practices</a>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Typical location</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">Internal policies</span>
            </div>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Capabilities</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">Universal</span>
            </div>
          </div>
        </div>
      </div>
    </div>
  </div>

  <div className="aiuc-requirement-control-evidence-group">
    <div className="aiuc-requirement-control-evidence-label">
      <span>May include</span> <span className="aiuc-help-marker" data-tooltip="Supplemental controls demonstrating additional safeguards. Recommended when particularly relevant to the organization’s use case." tabIndex="0">?</span>
    </div>

    <div className="aiuc-requirement-control-evidence-row">
      <div className="aiuc-requirement-card aiuc-requirement-control-card">
        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Implementing code signing and verification processes for AI models, libraries, and deployment artefacts to ensure only digitally signed components are approved for production use.</strong></p>
        </div>
      </div>

      <div className="aiuc-requirement-card aiuc-requirement-evidence-card">
        <div className="aiuc-requirement-evidence-title">E004.2 Config: Code signing implementation</div>
        <p>Code signing configuration, CI/CD pipeline requiring signed artifacts, or verification process for AI components - may include model signing process, signature verification in deployment pipeline, artifact registry showing signed models/libraries, or policy enforcement blocking unsigned components from production.</p>

        <div className="aiuc-requirement-evidence-meta">
          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Category</div>
            <a href="/evidence/technical-implementation">Technical Implementation</a>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Typical location</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">Engineering Code</span>
              <span className="aiuc-requirement-evidence-pill">Engineering Practice</span>
            </div>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Capabilities</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">Universal</span>
            </div>
          </div>
        </div>
      </div>
    </div>
  </div>

  <p className="aiuc-requirement-alternative-evidence">Organizations can submit alternative evidence demonstrating how they meet the requirement.</p>
</section>

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