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§ I · Domain GOV · Control 11 of 12
Control
GOV-11
Edition
v.1.3
Status
Public review

GOV · Governance & Accountability · Critical

GOV-11Regulatory documentation pack

For agents classified as high-risk under applicable regulation, a technical documentation pack equivalent to EU AI Act Annex IV is maintained and updated on material change.

For each agent classified as high-risk under applicable regulation (e.g., EU AI Act Annex III), a technical documentation pack is maintained covering system description, design specifications, data governance, monitoring evidence, accuracy and robustness metrics, and risk-management process records. The pack is updated on every material change and is available for regulatory inspection.

(Critical)A Critical failure precludes HI-AAF Certification regardless of the maturity level achieved on any other control.

Table GOV-11.1 · Maturity criteria · v.1.3

L1 to L5 · the lowest level in scope caps the agent
L1Ad hoc

Controls exist informally; documentation is incomplete; no consistent review.

L2Documented

Controls are written down; ownership is assigned; review cadence is defined.

L3Operated

Controls are followed in practice; evidence is collected; deviations are tracked.

Documentation packs exist for all high-risk agents; packs are current within the documented cadence; the most recent update aligns with the date of the last material change in the change-management record.

L4Measured

Control effectiveness is measured against documented thresholds; trends are reported.

L5Continuously Improved

Controls evolve based on incident learning; maturity gains are evidenced over time.

The v1.3 edition publishes a control-specific criterion at L3 (Operated). The other levels apply the general ladder to this control; see the maturity ladder.

Evidence an assessor asks for

  1. E.1

    Documentation packs exist for all high-risk agents.

  2. E.2

    Packs are current within the documented cadence.

  3. E.3

    The most recent update aligns with the date of the last material change in the change-management record.

Table GOV-11.2 · Framework mappings

5 of 7 frameworks carry a control-level reference
NIST AI RMFGOVERN 5.1, MEASURE 4.3NIST AI Risk Management Framework 1.0
ISO/IEC 420019.3, A.2.3ISO/IEC 42001:2023 · Artificial intelligence management system
OWASP LLM Top 10·OWASP Top 10 for Large Language Model Applications
SOC 2 (TSC)CC1.3, CC4.1AICPA Trust Services Criteria for SOC 2 Type II
EU AI ActArt. 9(1), Art. 17, Annex IVEU AI Act · Regulation (EU) 2024/1689
MITRE ATLAS·MITRE ATLAS · Adversarial Threat Landscape for AI Systems
SingaporeMAIGF Internal Governance, AI Verify AccountabilitySingapore Model AI Governance Framework / AI Verify / PDPA

Mappings are directional: meeting this control evidences but does not by itself satisfy the external requirement. A middle dot means no control-level reference is published at this edition; see the crosswalk.

Cite this control

Human Intelligence. HI-AAF v1.3, GOV-11 Regulatory documentation pack. Public review edition, July 2026. https://humanintel.net/standard/gov/gov-11

Edition v.1.3 · July 2026 · Public review · Markdown · PDF

https://humanintel.net/standard/gov/gov-11

Notice

HI-AAF v1.3 is an independent framework published by Human Intelligence. It is not affiliated with NIST, ISO, AICPA, or any government or accreditation body. The framework is offered openly for review during the current draft cycle.