Governance Checklist — Autonomous Systems Readiness¶

How To Use This Checklist¶

Answer each question honestly for your current AI agent deployments. A "no" does not mean you have failed — it means you have identified a governance gap that can be addressed.

Five or more "no" answers is the threshold at which we would recommend a formal review. By that diagnostic, the deployment likely has governance gaps that create regulatory, operational, and audit exposure. A formal readiness assessment would identify which gaps create the most risk and in what sequence to address them.

The Ten Questions¶

1. Risk classification before action¶

Can you classify every autonomous agent action by risk tier before it executes?

A governed system classifies what the agent is about to do — not what it already did. If risk classification happens after execution or not at all, the agent operates with unbounded authority.

• Yes: every action is classified before dispatch
• No: agents execute without pre-action risk assessment

2. Bounded authority¶

Do your agents operate within explicit authority boundaries they cannot modify themselves?

Agents should not decide their own permissions. Authority — what tools to use, what data to access, what scope to operate in — should be assigned by governance infrastructure, not by the agent's own reasoning.

• Yes: authority boundaries are externally enforced
• No: agents self-select tools and scope

3. Policy enforcement at the point of action¶

Is policy enforced at the moment an agent takes action — not before reasoning and not after execution?

Governance that exists only in system prompts or post-execution monitoring does not prevent unauthorized actions. Policy must be enforced at the dispatch boundary — where the agent's intent becomes an action.

• Yes: policy gates exist at dispatch
• No: governance is prompt-based or after-the-fact

4. Operating-layer audit trails¶

Do audit records exist at the governance layer, independent of model self-reporting?

If your evidence of agent governance depends on the model accurately reporting what it did, you do not have auditable governance. Audit trails must be generated by the governance infrastructure, not narrated by the governed system.

• Yes: audit evidence is infrastructure-generated
• No: we rely on application logs or model output

5. Escalation paths¶

When an agent encounters an action that exceeds its authority, does the system escalate to a human or higher governance tier?

Governed systems have defined escalation paths. Ungoverned systems either allow the action or fail silently. If your agents can encounter situations beyond their authority with no clear path to resolution, governance is incomplete.

• Yes: escalation paths are defined and enforced
• No: agents either proceed or fail without escalation

6. Multi-agent governance¶

If multiple agents operate in your environment, are they all governed by the same policy infrastructure?

Agent-to-agent communication creates new governance surfaces. If each agent has its own governance model — or none — the system-level risk is unmanaged. Governance must apply uniformly across agent interactions, not just per-agent behavior.

• Yes: all agents operate under unified governance
• No: agents are governed individually or not at all

7. Compliance framework alignment¶

Can you map your agent governance controls to at least one recognized framework (NIST AI RMF, EU AI Act, ISO 42001)?

Regulators, auditors, and enterprise buyers will ask for evidence of governance that maps to recognized frameworks. If your controls exist but cannot be expressed in framework language, the compliance conversation becomes difficult.

• Yes: controls are mapped to recognized frameworks
• No: governance exists but is not framework-aligned

8. Governance documentation¶

Does technical documentation exist that explains your agent governance architecture — not just what agents do, but how they are governed?

The EU AI Act requires technical documentation for high-risk AI systems. Most organizations have agent deployment documentation but not governance architecture documentation. The gap becomes visible during audits.

• Yes: governance architecture is documented
• No: only deployment or feature documentation exists

9. Third-party and vendor governance¶

Do AI agents provided by third-party vendors or platforms operate under your governance controls?

Organizations increasingly use third-party AI agents — from CRM automation to customer support to code generation. If vendor-provided agents operate outside your governance perimeter, the risk surface is larger than your internal deployments suggest.

• Yes: vendor agents operate under our governance
• No: vendor agents are self-governed or ungoverned

10. Governance continuity under change¶

When models are updated, agents are added, or tool access changes, does governance automatically apply to the new configuration?

Governance that was valid yesterday may not apply to today's agent configuration. If adding a new model, tool, or agent requires manual governance reconfiguration, the system is fragile. Governance must persist through change — not require reimplementation.

• Yes: governance applies automatically to new configurations
• No: governance must be manually reconfigured after changes

Scoring¶

What To Do Next¶

If your score revealed gaps, the question is not whether to address them — it is which gaps create the most exposure and in what sequence.

A formal governance readiness assessment takes 45 minutes. You leave with a clear map of where governance gaps exist, which gaps create the most exposure, and a prioritized sequence for addressing them.

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