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: 20 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 | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| AI impact assessment | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| Independent review | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| Ongoing monitoring | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| Operator training | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| Fail-safe | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| Appeal process | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
| User and public consultation | 20 | 0 | 0 | 0 | 0 | 0 | 0 | 20 | 0% | 0% of 20 |
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 | – | – | – | – | – | – | – | – | 20 |
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
20 records with at least one practice unanswered or in progressOpen in explorer| Use case | Stage | Test | AIA | Review | Monitor | Train | Fail-safe | Appeal | Consult |
|---|---|---|---|---|---|---|---|---|---|
| 8-K Filing Solution SEC · SEC-5 | 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 |
| Training Conversation Tool SEC · SEC-6 | 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 |
| 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 Natural Language Processing Techniques to Search and Analyze Certain Filings SEC · SEC-23 | 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 |
| Developed Parsing Logic for Filings SEC · SEC-25 | 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 |
| Optical Character Recognition (OCR) for Records Analysis SEC · SEC-33 | 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 |
| Utilize Westlaw Quick Check to cross check SEC documents. SEC · SEC-35 | 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 AI Large Language Model chat for general tasks/questions SEC · SEC-38 | 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 |
| Extracting data from FOIA request forms SEC · SEC-40 | 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 AI to answer questions about a corpus of uploaded files SEC · SEC-47 | 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 |
| Creating AI generated images SEC · SEC-49 | 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 |
| Legal Research (Lexis+) SEC · SEC-62 | 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 |
| Legal Research (Westlaw Precision) SEC · SEC-63 | 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 |
| Natural language search on images through FlashPoint SEC · SEC-64 | 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 |
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.