IMPROVE Owner: AI Governance Committee / Risk Management / Process Improvement

Continuous AI Improvement & Maturity

Drive maturity through structured reviews, gap analysis, post-incident learning, and continuous alignment with evolving frameworks and organizational goals.

Framework Mapping

Controls from each source framework that map to this domain.

Framework	Mapped Controls
ISO 42001	Cl.10 Improvement A.8 Data for AI Systems
NIST AI RMF	GV-4 Org Culture MG-3 Manage AI Risks
OWASP	Cross-cutting (all LLM and Agentic controls inform improvement cycles)

Controls

7 controls across Tier 1 (essential) and Tier 2 (advanced).

Tier 1 ISO Clause 10 NIST GV-4

Lessons Learned Process

Audit Checklist

Quick-reference checklist items grouped by control.

AI Governance Maturity Model

☐ Maturity model adopted or developed with clear level definitions
☐ Annual assessment conducted with evidence-based scoring
☐ Gap analysis completed identifying specific improvements needed
☐ Roadmap created prioritizing gaps with owners and deadlines
☐ Quarterly progress tracked showing advancement toward next level

Post-Incident Review

☐ Post-incident review process defined with trigger criteria
☐ Reviews completed within 5 days for all major incidents
☐ Root cause analysis documented using structured method (5 Whys, Fishbone)
☐ Corrective actions defined with owners and deadlines tracked to completion
☐ Lessons learned shared with team and incorporated into training/runbooks

Framework Update Tracking

☐ Subscribed to update channels for all relevant frameworks
☐ Quarterly reviews conducted with summaries of changes
☐ Gap analysis completed assessing impact on controls
☐ Control updates documented with version history
☐ Training materials refreshed to reflect framework updates

Retraining Governance

☐ Retraining governance process defined with trigger criteria
☐ Recent retraining has change tickets with all required fields
☐ Validation testing conducted with documented results and approvals
☐ Deployments follow standard process (canary, versioning, rollback)
☐ Stakeholders notified of retraining with impact summary

Gap Remediation Workflow

☐ Gap remediation workflow defined and documented
☐ All identified gaps logged in central tracker
☐ Gaps prioritized by risk with leadership approval
☐ Owners assigned and deadlines set for all gaps
☐ Verification completed for closed gaps with evidence on file

Annual Review Checklist

☐ Annual review process defined with comprehensive scope
☐ Review completed covering all required sections
☐ Data sources documented and metrics pulled from authoritative systems
☐ Report presented to executive leadership and board/audit committee
☐ Approval decisions documented with follow-up actions tracked

Lessons Learned Process

☐ Lessons learned process defined with template and cadence
☐ Retrospectives conducted for incidents and major projects
☐ Quarterly synthesis completed identifying common themes
☐ Lessons published to knowledge base and tagged/searchable
☐ Training and runbooks updated incorporating lessons learned