Governance and accountability
Governance evidence
What agencies reported about the OMB M-25-21 minimum practices for high-impact AI. This is a disclosure analysis, not an audit, a compliance finding or an official assessment. An unanswered question is missing evidence, not evidence that a safeguard is absent.
Practice-by-practice evidence
Denominator: 14 records · all use cases in the current filterNo answer reported
| Practice | In scope | In place | In progress | Not in place | N/A | Precluded or waived | Other | No answer | Answered | In place of applicable |
|---|---|---|---|---|---|---|---|---|---|---|
| Pre-deployment testing | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| AI impact assessment | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| Independent review | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| Ongoing monitoring | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| Operator training | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| Fail-safe | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| Appeal process | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
| User and public consultation | 14 | 0 | 0 | 0 | 0 | 0 | 0 | 14 | 0% | 0% of 14 |
Answered = records with any answer ÷ records in scope. In place of applicable = reported in place ÷ (in scope minus not applicable, precluded and waived). Unanswered records stay in that denominator, so the rate is a lower bound on reported evidence, not an estimate of real practice.
| Testing | Impact assess. | Indep. review | Monitoring | Training | Fail-safe | Appeal | Consultation | n | |
|---|---|---|---|---|---|---|---|---|---|
| SEC | – | – | – | – | – | – | – | – | 14 |
Hatched cells: the agency answered nothing for that practice, so there is no evidence either way. Compare agencies with care: each agency is one reporting unit, and portfolios differ in size and type.
Records requiring further investigation
14 records with at least one practice unanswered or in progressOpen in explorer| Use case | Stage | Test | AIA | Review | Monitor | Train | Fail-safe | Appeal | Consult |
|---|---|---|---|---|---|---|---|---|---|
| Name Matching SEC · SEC-19 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Parsing of Plain Language Descriptions to Machine-Readable Notations SEC · SEC-20 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Using Machine Learning/Artificial Intelligence Techniques to Predict Entities With Certain Risk Characteristics SEC · SEC-24 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Identification of Potentially Manipulative Activity in Certain Accounts SEC · SEC-26 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Single Event Insider Trading Analysis SEC · SEC-34 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Tracing digital asset transactions and identifying entities controlling wallet addresses SEC · SEC-67 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Improve efficiency of comment letter ingestion SEC · SEC-68 | Deployed | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| CF Staff Review Comments SEC · SEC-9 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Identification of Potentially Manipulative Trading Activity in Registrant Data SEC · SEC-21 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Enhancing Analysis of SEC Web Engagement Trends Using AI SEC · SEC-54 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Identifying Citations of SEC Publications to Measure Market Impact SEC · SEC-55 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Analyzing Registered Offerings Data to Understand Capital Formation Trends SEC · SEC-56 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Analyzing EDGAR Search Trends to Understand Public Interest in Filings SEC · SEC-57 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
| Analyzing Form ADV Data to Identify Trends Among Investment Advisers SEC · SEC-58 | Pre-deployment | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported | No answer reported |
Unanswered analytical questions
Generated from the data; for follow-up with agenciesThese are questions the inventory raises but cannot answer. They are not findings of non-compliance.