Institutional Implementation Guide

1. Purpose of This Guide

What This Guide Does

• Translates the Accountability Invariant into deployable governance artifacts
• Provides schemas, mappings, and specifications for institutional implementation
• Supports legal defensibility, audit readiness, and regulatory compliance
• Assumes institutions have accepted the foundational governance principle

What This Guide Does Not Do

2. Responsibility Matrix - Full Specification

The Responsibility Matrix is a mandatory system artifact. Every AI-assisted outcome must produce exactly one matrix record. No matrix record means no valid output.

Required Fields

Conceptual Schema

ResponsibilityMatrix {
  matrix_id:           UUID [PRIMARY KEY, IMMUTABLE]
  outcome_id:          UUID [FOREIGN KEY, NOT NULL]
  
  // AI Contribution
  ai_system_id:        STRING [NOT NULL]
  ai_recommendation:   JSON {
    output:            ANY
    confidence:        FLOAT [0.0-1.0]
    uncertainty:       FLOAT [0.0-1.0]
    model_version:     STRING
  }
  
  // Human Review
  human_reviewer_id:   STRING [NOT NULL, AUTHENTICATED]
  human_decision:      ENUM [APPROVED, REJECTED, MODIFIED]
  human_rationale:     STRING [REQUIRED IF decision != APPROVED]
  review_timestamp:    TIMESTAMP [NOT NULL]
  
  // Policy Constraints
  policy_version:      STRING [NOT NULL]
  policy_rules_applied: ARRAY[STRING]
  
  // Escalation State
  escalation_triggered: BOOLEAN [NOT NULL]
  escalation_reason:    STRING [REQUIRED IF triggered]
  escalation_timestamp: TIMESTAMP [NULLABLE]
  
  // Institutional Ownership
  institution_id:      STRING [NOT NULL]
  department_id:       STRING [NULLABLE]
  
  // Audit Fields
  created_at:          TIMESTAMP [IMMUTABLE]
  checksum:            SHA256 [COMPUTED]
}

Storage & Retention

• Storage: Append-only data store with cryptographic integrity verification
• Retention: Minimum 7 years or as required by applicable regulations
• Access: Read-only for audit; no modification access granted to any role
• Backup: Geographically distributed with integrity verification on restore

3. Role Enforcement Schemas

Each role has explicit permissions, prohibitions, and attestation requirements. These are governance constraints, not application features.

Enforcement Rules

RULE: AI_OUTPUT_NEVER_FINAL
  IF output.status == "FINAL" AND output.source == "AI"
  THEN REJECT with "AI outputs cannot be marked final"

RULE: HUMAN_DECISION_REQUIRED
  IF matrix.human_decision IS NULL
  THEN BLOCK output propagation

RULE: POLICY_VERSION_BOUND
  IF matrix.policy_version != active_policy.version
  THEN REJECT with "Policy version mismatch"

RULE: ESCALATION_NON_BYPASSABLE
  IF escalation_condition_met == TRUE
  THEN REQUIRE human_review
  AND BLOCK auto_approval

4. Escalation Logic - Operational Mapping

Escalation Triggers

Escalation Sequence

STATE: AI_PROCESSING
  ON trigger_detected:
    FREEZE ai_output
    SET status = ESCALATED
    TRANSITION TO AWAITING_REVIEW

STATE: AWAITING_REVIEW
  REQUIRE human_reviewer_assignment
  PROVIDE full_context {
    ai_recommendation
    confidence_scores
    uncertainty_bounds
    escalation_reason
    policy_rules
  }
  ON human_decision:
    LOG to responsibility_matrix
    TRANSITION TO DECISION_LOGGED

STATE: DECISION_LOGGED
  SET matrix.human_decision
  SET matrix.human_reviewer_id
  SET matrix.review_timestamp
  COMPUTE matrix.checksum
  TRANSITION TO COMPLETE

STATE: COMPLETE
  OUTPUT is now valid
  RESPONSIBILITY assigned to human_reviewer
  RECORD immutable

5. Audit & Compliance Mapping

Framework artifacts map to regulatory requirements. This section provides traceability, not legal interpretation.

Audit Evidence Availability

• Decision Chain: Complete path from AI output to human approval
• Temporal Accuracy: Immutable timestamps at each stage
• Policy State: Exact policy version active at decision time
• Override Documentation: Rationale for rejections or modifications
• Escalation Records: Why escalation occurred; how it resolved

6. Language Protocol - Enforcement Layer

Language constraints are deployable governance rules. Mislabeling creates legal exposure.

Prohibited Phrases

Enforcement Points

• User Interface: Validate labels before display
• Audit Logs: Scan entries for prohibited phrases
• Reports: Template enforcement for generated documents
• Exports: Compliance check before external delivery
• API Responses: Response validation middleware

FUNCTION validate_language(text):
  prohibited = [
    "AI decided", "system approved", "algorithm determined",
    "automated decision", "AI concluded", "machine judgment"
  ]
  FOR phrase IN prohibited:
    IF phrase IN text.lower():
      RETURN {valid: FALSE, violation: phrase}
  RETURN {valid: TRUE}

7. Export & Regulator Packages

Standard Export Bundles

Export Metadata

All exports include:

• Export timestamp and requesting user
• Date range and filter criteria applied
• Record count and integrity checksums
• Framework version and policy version at export time
• Chain of custody fields for legal use

8. Deployment Checklist (Institutional)

All items must be satisfied before production deployment. This is risk gating, not feature enablement.

9. Change Control & Versioning

Change Categories

Version Control Requirements

• All policy changes increment version number
• Change rationale is mandatory for Major and Minor changes
• Previous versions are retained indefinitely
• Active policy version is bound to all new matrix records
• Rollback requires same approval as original change