ICT-Governance-Framework-Application

ICT Governance Policies

This document outlines the core policies that support the ICT Governance Framework. These policies establish the rules, guidelines, and procedures for managing technology assets, services, and resources across the organization.

1. Technology Selection and Standardization Policy

Purpose

To establish a structured approach for evaluating, selecting, and standardizing technology solutions that align with business needs, enterprise architecture, and strategic objectives.

Policy Statements

1. Technology Standards Registry: The organization will maintain a centralized registry of approved technologies, platforms, and products.
2. Evaluation Process: All new technology solutions must undergo a formal evaluation process before approval.
3. Criteria for Selection: Technology solutions will be evaluated based on:
   • Alignment with business requirements
   • Compatibility with enterprise architecture
   • Security and compliance requirements
   • Total cost of ownership
   • Vendor viability and support
   • Performance and scalability
4. Standardization: The organization will limit technology diversity by standardizing on key platforms and products.
5. Exceptions: Exceptions to technology standards require formal approval from the ICT Governance Council.

Roles and Responsibilities

• ICT Governance Council: Approves technology standards and major exceptions
• Domain Owners: Recommend technology standards for their domains
• Technology Stewards: Maintain the technology standards registry and lead evaluations
• Business Stakeholders: Provide requirements and participate in evaluations

Procedures

1. Technology Request: Business units submit requests for new technology solutions
2. Initial Assessment: Technology Stewards assess alignment with existing standards
3. Evaluation: For non-standard technologies, conduct a formal evaluation
4. Approval: Domain Owners approve domain-specific technologies; ICT Governance Council approves enterprise technologies
5. Documentation: Update the technology standards registry with approved technologies

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2. Security Requirements and Compliance Policy

Purpose

To establish security and compliance requirements for all technology assets, services, and resources to protect the organization from threats and ensure regulatory compliance.

Policy Statements

1. Security by Design: Security must be incorporated into the design, implementation, and operation of all technology solutions.
2. Risk Assessment: All technology solutions must undergo security risk assessment before implementation.
3. Compliance Requirements: Technology solutions must comply with relevant regulations and industry standards.
4. Security Controls: Appropriate security controls must be implemented based on data classification and risk level.
5. Identity and Access Management: Access to technology resources must follow the principle of least privilege.
6. Security Monitoring: All technology solutions must implement appropriate logging and monitoring.

Roles and Responsibilities

• ICT Governance Council: Approves security policies and risk acceptance
• Security Domain Owner: Defines security requirements and standards
• Security Steward: Conducts security assessments and reviews
• Technology Custodians: Implement and maintain security controls
• All Users: Comply with security policies and procedures

Procedures

1. Security Requirements Definition: Define security requirements based on data classification and regulatory needs
2. Security Risk Assessment: Conduct risk assessment for new technology solutions
3. Security Controls Implementation: Implement appropriate security controls
4. Compliance Verification: Verify compliance with security requirements and regulations
5. Ongoing Monitoring: Continuously monitor security posture and compliance

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3. Architecture Review and Approval Policy

Purpose

To ensure technology solutions align with enterprise architecture principles, standards, and strategic direction.

Policy Statements

1. Architecture Review: All significant technology changes must undergo architecture review.
2. Architecture Principles: Technology solutions must adhere to established architecture principles.
3. Review Thresholds: Architecture review is required for projects meeting specific criteria (cost, complexity, strategic importance).
4. Documentation: Architecture documentation must be maintained for all technology solutions.
5. Reference Architectures: Standard reference architectures must be followed where applicable.

Roles and Responsibilities

• ICT Governance Council: Approves enterprise architecture principles and major deviations
• Domain Owners: Approve domain-specific architectures
• Technology Stewards: Conduct architecture reviews and maintain documentation
• Solution Architects: Design solutions in accordance with architecture principles
• Project Teams: Submit solutions for architecture review

Procedures

1. Review Request: Project teams submit architecture review requests
2. Initial Assessment: Technology Stewards assess the need for formal review
3. Architecture Review: Conduct architecture review for qualifying projects
4. Decision: Approve, approve with conditions, or reject the proposed architecture
5. Documentation: Update architecture repository with approved designs

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4. Change Management and Release Process Policy

Purpose

To establish a structured approach for managing technology changes to minimize risk and disruption to business operations.

Policy Statements

1. Change Process: All technology changes must follow the defined change management process.
2. Change Classification: Changes must be classified based on risk, impact, and urgency.
3. Testing Requirements: Changes must be adequately tested before implementation.
4. Approval Authorities: Appropriate approvals must be obtained based on change classification.
5. Change Windows: Standard change windows must be established for routine changes.
6. Emergency Changes: Emergency change procedures must be defined for urgent situations.

Roles and Responsibilities

• ICT Governance Council: Approves high-risk changes
• Change Advisory Board (CAB): Reviews and approves significant changes
• Domain Owners: Approve domain-specific changes
• Technology Stewards: Assess change impact and risk
• Technology Custodians: Implement and document changes
• Change Initiators: Submit change requests and provide justification

Procedures

1. Change Request: Submit change request with details and justification
2. Impact Assessment: Assess change impact, risk, and resource requirements
3. Approval: Obtain appropriate approvals based on change classification
4. Implementation Planning: Develop detailed implementation plan
5. Testing: Test the change in non-production environment
6. Implementation: Implement the change during approved change window
7. Verification: Verify successful implementation
8. Documentation: Update documentation and configuration records

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5. Technology Asset Lifecycle Management Policy

Purpose

To establish a structured approach for managing technology assets throughout their lifecycle, from acquisition to retirement.

Policy Statements

1. Asset Inventory: All technology assets must be recorded in the asset inventory.
2. Lifecycle Stages: Technology assets must be managed through defined lifecycle stages.
3. Procurement Standards: Technology procurement must follow established standards and procedures.
4. Maintenance and Support: Appropriate maintenance and support must be in place for all technology assets.
5. Refresh Cycles: Standard refresh cycles must be established for technology asset categories.
6. Secure Disposal: Technology assets must be securely disposed of at end-of-life.

Roles and Responsibilities

• ICT Governance Council: Approves asset lifecycle policies and major investments
• Domain Owners: Define asset lifecycle requirements for their domains
• Technology Stewards: Maintain asset standards and lifecycle documentation
• Technology Custodians: Manage day-to-day asset operations and maintenance
• Procurement: Ensure compliance with procurement standards

Procedures

1. Planning: Develop technology asset plans based on business needs
2. Acquisition: Procure assets following established standards
3. Deployment: Deploy assets with proper configuration and documentation
4. Operations: Maintain and support assets throughout their operational life
5. Monitoring: Monitor asset performance, usage, and compliance
6. Refresh/Retirement: Plan and execute asset refresh or retirement
7. Disposal: Securely dispose of retired assets

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6. Vendor Management Policy

Purpose

To establish a structured approach for managing relationships with technology vendors to ensure value, performance, and risk management.

Policy Statements

1. Vendor Selection: Technology vendors must be selected through a formal evaluation process.
2. Vendor Classification: Vendors must be classified based on criticality and risk.
3. Contract Management: Vendor contracts must include appropriate terms, conditions, and SLAs.
4. Performance Management: Vendor performance must be regularly monitored and reviewed.
5. Risk Management: Vendor risks must be identified, assessed, and managed.
6. Relationship Management: Strategic vendor relationships must be actively managed.

Roles and Responsibilities

• ICT Governance Council: Approves strategic vendor relationships
• Domain Owners: Manage vendor relationships in their domains
• Technology Stewards: Evaluate vendor technologies and performance
• Procurement: Manage vendor contracts and commercial terms
• Legal: Review and approve vendor contracts
• Risk Management: Assess and monitor vendor risks

Procedures

1. Vendor Identification: Identify potential vendors based on requirements
2. Vendor Evaluation: Evaluate vendors based on defined criteria
3. Vendor Selection: Select vendors through formal process
4. Contract Negotiation: Negotiate and finalize vendor contracts
5. Vendor Onboarding: Onboard vendors and establish relationship management
6. Performance Monitoring: Monitor and review vendor performance
7. Relationship Management: Manage ongoing vendor relationships
8. Contract Renewal/Termination: Review and renew or terminate vendor contracts

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7. AI Ethics and Responsible AI Policy

Purpose

To establish comprehensive ethical guidelines and governance processes for artificial intelligence technologies, ensuring responsible AI development, deployment, and management aligned with global standards and organizational values.

Policy Statements

1. AI Ethics Framework Compliance: All AI systems must comply with the organization’s AI Ethics Framework aligned with global standards (EU AI Act, IEEE, UNESCO, NIST).
2. Human-Centric AI: AI systems must enhance human capabilities while maintaining meaningful human oversight and control.
3. Fairness and Non-Discrimination: AI systems must be designed, tested, and monitored to prevent discriminatory outcomes and ensure equitable treatment.
4. Transparency and Explainability: AI systems must provide clear explanations for their decisions and maintain transparent documentation.
5. Privacy and Data Protection: AI systems must implement privacy-by-design principles and protect personal data throughout the AI lifecycle.
6. Safety and Security: AI systems must undergo comprehensive safety and security testing before deployment and continuous monitoring during operation.
7. Accountability: Clear accountability structures must be established for AI system outcomes and impacts.

Roles and Responsibilities

• AI Ethics Council: Strategic oversight and policy governance for AI ethics
• AI Ethics Review Board: Technical review and assessment of AI systems for ethics compliance
• AI Ethics Officer: Overall coordination and compliance monitoring for AI ethics
• AI Development Teams: Implement AI ethics requirements in system design and development
• Business Stakeholders: Define ethical requirements and participate in AI ethics assessments

Procedures

1. AI Ethics Impact Assessment: Conduct comprehensive ethics assessment for all AI systems based on risk classification
2. Ethics Review Process: Submit AI systems for ethics review by AI Ethics Review Board
3. Approval Process: Obtain required approvals from AI Ethics Council for high-risk AI systems
4. Monitoring and Compliance: Implement continuous monitoring for AI ethics compliance
5. Incident Response: Follow defined procedures for AI ethics violations and incidents
6. Training and Awareness: Complete mandatory AI ethics training for all AI development personnel

AI Risk Classification

• High-Risk AI Systems: Require comprehensive ethics review, AI Ethics Council approval, and continuous monitoring
• Medium-Risk AI Systems: Require standard ethics assessment, Review Board approval, and periodic monitoring
• Low-Risk AI Systems: Require basic ethics self-assessment and standard documentation

Compliance Requirements

• Global Standards Alignment: Compliance with EU AI Act, IEEE Ethically Aligned Design, UNESCO AI Ethics, and NIST AI RMF
• Bias Testing: Mandatory bias detection and mitigation testing for all AI systems
• Transparency Documentation: Comprehensive documentation of AI system capabilities, limitations, and decision-making processes
• Privacy Protection: Implementation of privacy-by-design principles and data protection measures
• Safety Validation: Comprehensive safety and security testing before deployment
• Continuous Monitoring: Ongoing monitoring for ethics compliance, bias, and performance

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These policies provide a comprehensive framework for governing technology within the organization, including specific provisions for ethical AI governance. Each policy should be further developed with detailed procedures, templates, and guidelines to support implementation.

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