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 governance framework


AGENTSAFE: A Unified Framework for Ethical Assurance and Governance in Agentic AI

Khan, Rafflesia, Joyce, Declan, Habiba, Mansura

arXiv.org Artificial Intelligence

The rapid deployment of large language model (LLM)-based agents introduces a new class of risks, driven by their capacity for autonomous planning, multi-step tool integration, and emergent interactions. It raises some risk factors for existing governance approaches as they remain fragmented: Existing frameworks are either static taxonomies driven; however, they lack an integrated end-to-end pipeline from risk identification to operational assurance, especially for an agentic platform. We propose AGENTSAFE, a practical governance framework for LLM-based agentic systems. The framework operationalises the AI Risk Repository into design, runtime, and audit controls, offering a governance framework for risk identification and assurance. The proposed framework, AGENTSAFE, profiles agentic loops (plan -> act -> observe -> reflect) and toolchains, and maps risks onto structured taxonomies extended with agent-specific vulnerabilities. It introduces safeguards that constrain risky behaviours, escalates high-impact actions to human oversight, and evaluates systems through pre-deployment scenario banks spanning security, privacy, fairness, and systemic safety. During deployment, AGENTSAFE ensures continuous governance through semantic telemetry, dynamic authorization, anomaly detection, and interruptibility mechanisms. Provenance and accountability are reinforced through cryptographic tracing and organizational controls, enabling measurable, auditable assurance across the lifecycle of agentic AI systems. The key contributions of this paper are: (1) a unified governance framework that translates risk taxonomies into actionable design, runtime, and audit controls; (2) an Agent Safety Evaluation methodology that provides measurable pre-deployment assurance; and (3) a set of runtime governance and accountability mechanisms that institutionalise trust in agentic AI ecosystems.


Approaches to Responsible Governance of GenAI in Organizations

Gandhi, Dhari, Joshi, Himanshu, Hartman, Lucas, Hassani, Shabnam

arXiv.org Artificial Intelligence

PEER-REVIEWED AND ACCEPTED IN IEEE- ISTAS 2025 The rapid evolution of Generative AI (GenAI) has introduced unprecedented opportunities while presenting complex challenges around ethics, accountability, and societal impact. This paper draws on a literature review, established governance frameworks, and industry roundtable discussions to identify core principles for integrating responsible GenAI governance into diverse organizational structures. Our objective is to provide actionable recommendations for a balanced, risk-based governance approach that enables both innovation and oversight. Findings emphasize the need for adaptable risk assessment tools, continuous monitoring practices, and cross-sector collaboration to establish trustworthy GenAI. These insights provide a structured foundation and Responsible GenAI Guide (ResAI) for organizations to align GenAI initiatives with ethical, legal, and operational best practices.


Data and AI governance: Promoting equity, ethics, and fairness in large language models

Abhishek, Alok, Erickson, Lisa, Bandopadhyay, Tushar

arXiv.org Artificial Intelligence

In this paper, we cover approaches to systematically govern, assess and quantify bias across the complete life cycle of machine learning models, from initial development and validation to ongoing production monitoring and guardrail implementation. Building upon our foundational work on the Bias Evaluation and Assessment Test Suite (BEATS) for Large Language Models, the authors share prevalent bias and fairness related gaps in Large Language Models (LLMs) and discuss data and AI governance framework to address Bias, Ethics, Fairness, and Factuality within LLMs. The data and AI governance approach discussed in this paper is suitable for practical, real-world applications, enabling rigorous benchmarking of LLMs prior to production deployment, facilitating continuous real-time evaluation, and proactively governing LLM generated responses. By implementing the data and AI governance across the life cycle of AI development, organizations can significantly enhance the safety and responsibility of their GenAI systems, effectively mitigating risks of discrimination and protecting against potential reputational or brand-related harm. Ultimately, through this article, we aim to contribute to advancement of the creation and deployment of socially responsible and ethically aligned generative artificial intelligence powered applications.


GAF-Guard: An Agentic Framework for Risk Management and Governance in Large Language Models

Tirupathi, Seshu, Salwala, Dhaval, Daly, Elizabeth, Vejsbjerg, Inge

arXiv.org Artificial Intelligence

As Large Language Models (LLMs) continue to be increasingly applied across various domains, their widespread adoption necessitates rigorous monitoring to prevent unintended negative consequences and ensure robustness. Furthermore, LLMs must be designed to align with human values, like preventing harmful content and ensuring responsible usage. The current automated systems and solutions for monitoring LLMs in production are primarily centered on LLM-specific concerns like hallucination etc, with little consideration given to the requirements of specific use-cases and user preferences. This paper introduces GAF-Guard, a novel agentic framework for LLM governance that places the user, the use-case, and the model itself at the center. The framework is designed to detect and monitor risks associated with the deployment of LLM based applications. The approach models autonomous agents that identify risks, activate risk detection tools, within specific use-cases and facilitate continuous monitoring and reporting to enhance AI safety, and user expectations. The code is available at https://github.com/IBM/risk-atlas-nexus-demos/tree/main/gaf-guard.


Bottom-Up Perspectives on AI Governance: Insights from User Reviews of AI Products

Pasch, Stefan

arXiv.org Artificial Intelligence

With the growing importance of AI governance, numerous high - level frameworks and principles have been articulated by policymakers, institutions, and expert communities to guide the development and application of AI . While such frameworks offer valuable normative orientation, they may not fully capture the practical concerns of those who interact with AI systems in organizational and operational contexts. To address this gap, this study adopts a bottom - up approach to explore how governance - relevant themes are expressed in user discourse. Drawing on over 100,000 user reviews of AI products from G2.com, we apply BERTopic to extract latent themes and identify those most semantically related to AI governance. The analysis reveals a diverse set of governance - relevant topics spanning both technical and non - technical domains. These include concerns across organizational processes -- such as planning, coordination, and communication -- as well as stages of the AI value chain, includ ing deployment infrastructure, data handling, and analytics. The findings show considerable overlap with institutional AI governance and ethics frameworks on issues like privacy and transparency, but also surface overlooked areas such as project management, strategy development, and customer interaction. This highlights the need for more empirically grounded, user - centered approaches to AI governance -- approaches that complement normative models by capturing how governance unfolds in applied settings . By foregrounding how governance is enacted in practice, this study contributes to more inclusive and operationally grounded approaches to AI governance and digital policy.


Benchmarking Ethical and Safety Risks of Healthcare LLMs in China-Toward Systemic Governance under Healthy China 2030

Bian, Mouxiao, Zhang, Rongzhao, Ding, Chao, Peng, Xinwei, Xu, Jie

arXiv.org Artificial Intelligence

Large Language Models (LLMs) are poised to transform healthcare under China's Healthy China 2030 initiative, yet they introduce new ethical and patient-safety challenges. We present a novel 12,000-item Q&A benchmark covering 11 ethics and 9 safety dimensions in medical contexts, to quantitatively evaluate these risks. Using this dataset, we assess state-of-the-art Chinese medical LLMs (e.g., Qwen 2.5-32B, DeepSeek), revealing moderate baseline performance (accuracy 42.7% for Qwen 2.5-32B) and significant improvements after fine-tuning on our data (up to 50.8% accuracy). Results show notable gaps in LLM decision-making on ethics and safety scenarios, reflecting insufficient institutional oversight. We then identify systemic governance shortfalls-including the lack of fine-grained ethical audit protocols, slow adaptation by hospital IRBs, and insufficient evaluation tools-that currently hinder safe LLM deployment. Finally, we propose a practical governance framework for healthcare institutions (embedding LLM auditing teams, enacting data ethics guidelines, and implementing safety simulation pipelines) to proactively manage LLM risks. Our study highlights the urgent need for robust LLM governance in Chinese healthcare, aligning AI innovation with patient safety and ethical standards.


Towards Adaptive AI Governance: Comparative Insights from the U.S., EU, and Asia

Kulothungan, Vikram, Gupta, Deepti

arXiv.org Artificial Intelligence

--Artificial intelligence (AI) trends vary significantly across global regions, shaping the trajectory of innovation, regulation, and societal impact. This variation influences how dif - ferent regions approach AI development, balancing technological progress with ethical and regulatory considerations. This study conducts a comparative analysis of AI trends in the United States (US), the European Union (EU), and Asia, focusing on three key dimensions: generative AI, ethical oversight, and industrial applications. The US prioritizes market -driven innovation with minimal regulatory constraints, the EU enforces a precautionary risk -based framework emphasizing ethical safeguards, and Asia employs state -guided AI strategies that balance rapid deployment with regulatory oversight. Although these approaches reflect different economic models and policy priorities, their divergence poses challenges to international collaboration, regulatory harmonization, and the development of global AI standards. To address these challenges, this paper synthesizes regional strengths to propose an adaptive AI governance framework that integrates risk -tiered oversight, innovation accelerators, and strategic alignment mechanisms. By bridging governance gaps, this study offers actionable insights for fostering responsible AI development while ensuring a balance between technological progress, ethical imperatives, and regulatory coherence. Artificial intelligence (AI) has emerged as a transformative force in the 21st century, reshaping industries, governance structures, and societal interactions at an unprecedented pace. From generative AI creating human - like text and images to autonomous systems revolutionizing healthcare, finance, and manufacturing, AI's influence is profound and far - reaching.


A Blockchain-Enabled Approach to Cross-Border Compliance and Trust

Kulothungan, Vikram

arXiv.org Artificial Intelligence

As artificial intelligence (AI) systems become increasingly integral to critical infrastructure and global operations, the need for a unified, trustworthy governance framework is more urgent that ever. This paper proposes a novel approach to AI governance, utilizing blockchain and distributed ledger technologies (DLT) to establish a decentralized, globally recognized framework that ensures security, privacy, and trustworthiness of AI systems across borders. The paper presents specific implementation scenarios within the financial sector, outlines a phased deployment timeline over the next decade, and addresses potential challenges with solutions grounded in current research. By synthesizing advancements in blockchain, AI ethics, and cybersecurity, this paper offers a comprehensive roadmap for a decentralized AI governance framework capable of adapting to the complex and evolving landscape of global AI regulation.


Ethical and Scalable Automation: A Governance and Compliance Framework for Business Applications

Lin, Haocheng

arXiv.org Artificial Intelligence

The popularisation of applying AI in businesses poses significant challenges relating to ethical principles, governance, and legal compliance. Although businesses have embedded AI into their day-to-day processes, they lack a unified approach for mitigating its potential risks. This paper introduces a framework ensuring that AI must be ethical, controllable, viable, and desirable. Balancing these factors ensures the design of a framework that addresses its trade-offs, such as balancing performance against explainability. A successful framework provides practical advice for businesses to meet regulatory requirements in sectors such as finance and healthcare, where it is critical to comply with standards like GPDR and the EU AI Act. Different case studies validate this framework by integrating AI in both academic and practical environments. For instance, large language models are cost-effective alternatives for generating synthetic opinions that emulate attitudes to environmental issues. These case studies demonstrate how having a structured framework could enhance transparency and maintain performance levels as shown from the alignment between synthetic and expected distributions. This alignment is quantified using metrics like Chi-test scores, normalized mutual information, and Jaccard indexes. Future research should explore the framework's empirical validation in diverse industrial settings further, ensuring the model's scalability and adaptability.


Regulating AI Is Easier Than You Think

TIME - Tech

Artificial intelligence is poised to deliver tremendous benefits to society. But, as many have pointed out, it could also bring unprecedented new horrors. As a general-purpose technology, the same tools that will advance scientific discovery could also be used to develop cyber, chemical, or biological weapons. Governing AI will require widely sharing its benefits while keeping the most powerful AI out of the hands of bad actors. The good news is that there is already a template on how to do just that.

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