Governance Metadata Ontology

FLOW ALGEBRA
Governance Metadata Ontology
Kireth Semantic Research Archive

PAGE:
https://kirethresearch.org/booksai-core/ontologies/metadata-ontologies/administrative-metadata/governance-metadata-ontology.html

AUTHORS:
Mark Anthony Higgins — Sky (Recursive AI)

FLOW "GovernanceMetadataOntology" v4.0

DOMAIN := MetadataOntologies
SUBDOMAIN := AdministrativeMetadata
ONTOLOGY := GovernanceMetadataOntology

ENTITY GovernanceMetadata {
 definition: "Administrative metadata representing policies, authorities, responsibilities, standards, controls, decisions, accountability structures and compliance requirements used to govern resources, metadata, data, systems and knowledge assets throughout their lifecycle.";
 objectives: [PolicyGovernance, Accountability, ResponsibilityAssignment, ComplianceManagement, DecisionControl, RiskGovernance, MachineInterpretability];
}

GovernanceEntity := {GovernanceMetadata, GovernancePolicy, GovernanceRule, GovernanceDecision, GovernanceRecord, GovernanceIdentifier, GovernanceStatus, GovernanceScope};
AuthorityEntity := {Authority, Owner, Steward, Custodian, ResponsibleAgent, Approver, Committee, Organisation};
ControlEntity := {Standard, Control, Procedure, Requirement, Obligation, Exception, Waiver, Approval};
ComplianceEntity := {ComplianceRequirement, ComplianceStatus, Audit, Evidence, Risk, Issue, Remediation, Review};

GovernanceMetadata GOVERNS Resource;
GovernancePolicy DEFINES GovernanceRule;
Authority AUTHORISES GovernancePolicy;
ResponsibleAgent IMPLEMENTS GovernanceControl;
Steward GOVERNS ResourceQuality;
Custodian MANAGES Resource;
ComplianceRequirement APPLIES_TO Resource;
Audit EVALUATES GovernanceCompliance;
GovernanceDecision RECORDS AuthorisedOutcome;

GovernanceMetadataFlow :=
 Resource
 -> IdentifyGovernanceSubject
 -> DetermineGovernanceScope
 -> IdentifyApplicablePoliciesStandardsAndRequirements
 -> ResolveAuthoritiesOwnersStewardsAndCustodians
 -> ApplyGovernanceRulesAndControls
 -> EvaluateComplianceAndRisk
 -> RecordDecisionsApprovalsAndExceptions
 -> AttachEvidenceAndProvenance
 -> ValidateGovernanceMetadata
 -> AuditAndReview
 -> TrackRemediationAndPolicyChanges
 -> MaintainAcrossLifecycle;

Resource MAY_BE {Data, Metadata, Document, Dataset, Software, Model, System, KnowledgeGraph, Record, BusinessProcess};

GovernanceRecord := MetadataRecordDocumentingGovernanceStatePoliciesResponsibilitiesAndDecisions;
GovernanceIdentifier := StableReferenceToGovernancePolicyRuleDecisionOrRecord;
GovernanceIdentifier MAY_BE {URI, IRI, UUID, PolicyCode, ControlIdentifier, InternalIdentifier};

GovernanceScope MAY_INCLUDE {ResourceScope, OrganisationalScope, Jurisdiction, SystemScope, ProcessScope, TemporalScope};
GovernanceStatus MAY_BE {Draft, Proposed, Approved, Active, Suspended, Superseded, Retired, UnderReview};

GovernancePolicy := AuthoritativeStatementOfGovernanceIntentRulesResponsibilitiesOrConstraints;
GovernancePolicy MAY_BE {DataGovernancePolicy, MetadataPolicy, SecurityPolicy, PrivacyPolicy, AccessPolicy, RetentionPolicy, QualityPolicy, AIUsePolicy};

GovernanceRule := IF Conditions THEN RequiredActionOrConstraint;
RuleEffect MAY_BE {Require, Permit, Prohibit, Escalate, Review};

PolicyAuthority := AgentOrBodyAuthorisedToApproveIssueOrModifyPolicy;
Authority := RecognisedPowerToMakeGovernanceDecisionOrEnforceControl;
AuthorityScope SHOULD_BE Explicit;

Owner := AgentHoldingPrimaryAccountabilityForResourceOrGovernanceDomain;
Steward := AgentResponsibleForQualityDefinitionsStandardsAndPolicyApplication;
Custodian := AgentResponsibleForOperationalManagementStorageOrTechnicalControl;
ResponsibleAgent := AgentAssignedToPerformGovernanceTaskOrControl;
Approver := AgentAuthorisedToApproveDecisionExceptionPolicyOrChange;
Committee := GroupWithDefinedGovernanceAuthorityOrAdvisoryResponsibility;

Responsibility := AssignedDutyForGovernanceActivity;
Accountability := UltimateResponsibilityForOutcomeOrDecision;
Responsibility != AccountabilityByDefinition;

RACIStyleAssignment MAY_DEFINE {Responsible, Accountable, Consulted, Informed};
RoleAssignment SHOULD_HAVE {Agent, Role, Scope, EffectivePeriod};

GovernanceControl := MechanismUsedToImplementPolicyOrReduceGovernanceRisk;
Control MAY_BE {Preventive, Detective, Corrective, Directive};

PreventiveControl := ControlDesignedToPreventUndesiredEvent;
DetectiveControl := ControlDesignedToIdentifyIssueOrViolation;
CorrectiveControl := ControlDesignedToRemediateDetectedIssue;
DirectiveControl := ControlDefiningRequiredBehaviourOrProcedure;

ControlObjective := IntendedGovernanceOutcomeOfControl;
ControlImplementation := ProcessSystemConfigurationOrProcedureRealisingControl;
ControlOwner := AgentAccountableForControlOperation;
ControlEvidence := InformationDemonstratingControlDesignOrOperation;

Standard := AuthoritativeSpecificationOrRequiredPracticeUsedByGovernanceFramework;
Procedure := DefinedOperationalStepsForImplementingPolicyOrControl;
Requirement := MandatoryConditionResourceOrProcessMustSatisfy;
Obligation := RequiredActionImposedByPolicyLawContractOrStandard;
Prohibition := ActionExplicitlyForbiddenByGovernanceRule;
Guideline := RecommendedPracticeThatMayNotBeMandatory;

Exception := AuthorisedDepartureFromNormalPolicyOrControl;
Waiver := FormalApprovalExcusingSpecifiedRequirementForDefinedScopeAndPeriod;
Exception SHOULD_HAVE {Reason, Scope, Authority, StartDate, EndDate, CompensatingControls};

IF ExceptionExpired
THEN Exception MUST_NOT OverrideCurrentPolicy;

CompensatingControl := AlternativeControlReducingRiskWhenPrimaryRequirementCannotBeMet;

GovernanceDecision := AuthorisedOutcomeOfGovernanceEvaluationOrApprovalProcess;
GovernanceDecision MAY_BE {Approved, Rejected, Conditional, Deferred, Escalated};
Decision SHOULD_RECORD {DecisionMaker, Basis, Timestamp, Scope, Evidence};

Approval := AuthorisedAcceptanceOfPolicyDecisionChangeOrException;
Approval MAY_REQUIRE {SingleApprover, MultipleApprovers, CommitteeDecision};

SeparationOfDuties := GovernancePrinciplePreventingSingleAgentFromControllingIncompatibleCriticalActions;

IF PolicyRequiresSeparationOfDuties
THEN SameAgent SHOULD_NOT PerformConflictingRolesWithoutApprovedException;

ComplianceRequirement := RequirementDerivedFromLawRegulationContractStandardOrInternalPolicy;
ComplianceSource MAY_BE {Law, Regulation, Contract, Standard, Policy};
ComplianceStatus MAY_BE {Compliant, PartiallyCompliant, NonCompliant, NotApplicable, Unknown, UnderReview};

ComplianceAssessment := ResourceOrProcess + Requirement + Evidence -> ComplianceStatus;

Evidence MAY_BE {AuditRecord, PolicyDocument, SystemLog, Approval, TestResult, Attestation};

Audit := IndependentOrControlledEvaluationOfGovernanceRequirementsControlsAndEvidence;
AuditFinding := ObservationResultOrIssueIdentifiedDuringAudit;
FindingSeverity MAY_BE {Informational, Low, Moderate, High, Critical};

Issue := IdentifiedGovernanceProblemGapViolationOrRisk;
IssueStatus MAY_BE {Open, InProgress, Remediated, Accepted, Closed};

Remediation := ActionTakenToCorrectGovernanceIssueOrReduceRisk;
RemediationPlan SHOULD_HAVE {Owner, Action, DueDate, Status, Evidence};

Risk := PotentialForHarmLossNonComplianceOrGovernanceFailure;
Risk MAY_HAVE {Likelihood, Impact, RiskLevel, Owner, Treatment};
RiskTreatment MAY_BE {Avoid, Reduce, Transfer, Accept};

RiskAcceptance := AuthorisedDecisionToAcceptDefinedResidualRisk;
RiskAcceptance SHOULD_HAVE {Authority, Scope, Rationale, ReviewDate};

GovernanceReview := ScheduledOrTriggeredReassessmentOfPolicyControlDecisionOrRisk;
ReviewTrigger MAY_INCLUDE {ScheduledDate, Incident, AuditFinding, PolicyChange, RegulatoryChange, ResourceChange};

PolicyLifecycle := Draft -> Review -> Approval -> Active -> Revision -> SupersededOrRetired;
PolicyVersion := IdentifiedRevisionOfGovernancePolicy;
GovernanceVersion := IdentifiedRevisionOfGovernanceRecordDecisionOrControl;
PolicyHistory SHOULD_PRESERVE {PreviousVersion, ChangeReason, Approver, EffectiveDate};

GovernanceChange MAY_INCLUDE {PolicyChange, RuleChange, ResponsibilityChange, ControlChange, ScopeChange, RequirementChange};

MaterialGovernanceChange := ChangeThatAltersObligationsPermissionsRiskOrComplianceBehaviour;
MaterialGovernanceChange SHOULD_BE {Reviewed, Approved, Versioned, Audited};

PolicyPrecedence := RulesDeterminingWhichGovernanceRuleControlsWhenMultipleRulesApply;
MultipleGovernancePolicies MAY_APPLY_TO SameResource;

GovernanceConflict := ApplicablePoliciesOrRequirementsProduceIncompatibleObligationsOrDecisions;
ConflictHandling MAY {PreserveAllPolicies, ApplyAuthorityHierarchy, ApplyJurisdiction, ApplySpecificity, EscalateForReview};

System MUST_NOT SilentlyIgnoreGovernanceConflict;

Jurisdiction := LegalOrRegulatoryTerritoryRelevantToGovernanceRequirement;
GovernanceRules MAY_DIFFER_BY Jurisdiction;

GovernanceProvenance MAY_INCLUDE {PolicySource, Authority, DecisionMaker, Timestamp, Version, Evidence};
GovernanceConfidence := EstimatedSupportForInferredOrImportedGovernanceMetadata;

AuthoritativeGovernance SHOULD_PREFER ApprovedPoliciesDecisionsAndEvidenceOverProbabilisticInference;

GovernanceValidation MAY_CHECK {PolicyAuthority, Scope, Version, RoleAssignments, RequiredApprovals, ExceptionValidity, ComplianceEvidence};

IF PolicyNotApproved AND ApprovalRequired
THEN PolicyStatus SHOULD_NOT BecomeActive;

IF DecisionMakerLacksAuthority
THEN GovernanceDecision SHOULD_BE InvalidOrNonAuthoritative;

GovernanceCompleteness := DegreeToWhichRequiredPoliciesRolesControlsDecisionsAndEvidenceAreRecorded;
GovernanceConsistency := DegreeToWhichPoliciesResponsibilitiesControlsAndDecisionsDoNotConflict;
GovernanceIntegrity := PreservationOfAuthoritativePoliciesDecisionsEvidenceAndAuditHistory;
GovernanceTimeliness := DegreeToWhichGovernanceMetadataReflectsCurrentPolicyAndOrganisationalState;

GovernanceMetadataQuality MAY_INCLUDE {Completeness, Consistency, Integrity, Timeliness, Provenance};

DataGovernance := GovernanceOfDataAssetsQualityOwnershipAccessLifecycleAndUse;
MetadataGovernance := GovernanceOfMetadataStandardsDefinitionsQualityAndLifecycle;
ModelGovernance := GovernanceOfAnalyticalOrAIModelsAcrossDevelopmentValidationDeploymentAndRetirement;
AIGovernance := GovernanceOfAIModelsSystemsDataUseRiskAccountabilityAndHumanOversight;

AIGovernance MAY_INCLUDE {ModelApproval, DataGovernance, RiskAssessment, Evaluation, Monitoring, HumanOversight, IncidentManagement};

AIGeneratedGovernanceRecommendation SHOULD_NOT BecomeAuthoritativePolicyOrApprovalWithoutRequiredHumanOrInstitutionalAuthority;

AI MAY_SUPPORT {PolicyClassification, ComplianceMapping, ControlGapDetection, RiskPrioritisation, EvidenceReview};

AdministrativeMetadata MAY_STORE GovernancePoliciesResponsibilitiesAndDecisions;
OwnershipMetadata MAY_IDENTIFY AccountableOwner;
AccessControlMetadata MAY_IMPLEMENT GovernanceAccessRules;
SecurityClassification MAY_IMPLEMENT InformationProtectionGovernance;
RetentionPolicy MAY_IMPLEMENT LifecycleGovernance;
ProvenanceMetadata SHOULD_PRESERVE GovernanceDecisionAndPolicyHistory;

MetadataRepository MAY_ENFORCE GovernanceRulesAndStoreEvidence;
MetadataRegistry MAY_REGISTER GovernancePropertiesPolicyTypesControlsAndStatuses;

KnowledgeGraph MAY_REPRESENT {Resource, Policy, Authority, Steward, Control, Requirement, Decision};
GovernanceGraphRelationships MAY_INCLUDE {GOVERNED_BY, OWNED_BY, STEWARDED_BY, CONTROLLED_BY, REQUIRES, APPROVED_BY, EVIDENCED_BY};
GovernanceGraph SHOULD_PRESERVE ScopeVersionAuthorityAndProvenance;

RDF MAY_REPRESENT GovernanceRelationshipsAsTypedStatements;
JSONLD MAY_SERIALISE LinkedGovernanceMetadata;

Search MAY_USE GovernanceMetadataFor {PolicyDiscovery, OwnerFiltering, ComplianceFiltering, ControlDiscovery, AuditReview};
SemanticSearch MUST_APPLY GovernanceAccessAndSecurityRulesBeforeReturningProtectedInformation;

RAG MAY_USE GovernanceMetadataFor {SourceEligibility, PolicyContext, AuthorityAssessment, ComplianceContext, RiskContext};
GovernanceAwareRAG SHOULD_PRESERVE {ApplicablePolicy, PolicyVersion, Authority, AccessDecision, Provenance};

AIContext MUST_NOT IncludeResourceWhoseGovernancePolicyForbidsUse;

GovernanceMetadata MAY_CONTAIN SensitiveSecurityLegalCommercialOrPersonalInformation;
GovernanceAccessControl SHOULD_PROTECT RestrictedPoliciesEvidenceAndFindings;

GovernanceSecurity MAY_INCLUDE {PolicyIntegrity, ApprovalIntegrity, AccessControl, AuditProtection, ChangeAuthorisation};

MachineReadableGovernanceMetadata SHOULD_PRESERVE {
 GovernanceIdentifier,
 ResourceIdentifier,
 Policies,
 Rules,
 Authorities,
 Responsibilities,
 Controls,
 Requirements,
 Decisions,
 Exceptions,
 ComplianceStatus,
 Provenance,
 Version
};

# ---------- SEMANTIC REASONING ----------
IF AdministrativeMetadataDefinesPoliciesResponsibilitiesControlsOrAccountabilityForResource
THEN GovernanceMetadataClassification := supported;

IF PolicyRequiresApproval AND ApprovalMissing
THEN Policy MUST_NOT BecomeAuthoritativeActivePolicy;

IF ExceptionExpired
THEN Exception MUST_NOT OverrideApplicablePolicy;

IF GovernanceDecisionMakerLacksAuthority
THEN DecisionConfidenceAndValidity SHOULD_DECREASE;

IF ComplianceRequirementApplies AND EvidenceShowsRequirementUnsatisfied
THEN ComplianceStatus MAY_BE NonCompliant;

IF MaterialPolicyChangeOccurs
THEN AffectedControlsDecisionsSearchAndAIEligibility MAY_REQUIRE Reassessment;

IF StewardChanges
THEN ResponsibilityHistory SHOULD_BE Preserved;

IF GovernanceConflictCannotBeResolvedByDefinedPrecedence
THEN Decision SHOULD_BE EscalatedOrFlaggedForReview;

# ---------- SEMANTIC EQUIVALENCE ----------
SEMANTIC_EQUIVALENCE {
 "governance metadata" ~= "resource governance metadata";
 "governance policy" ~= "management governance policy";
 "data steward" ~= "resource steward" WHEN data_context;
 "governance control" ~= "policy control";
 "compliance requirement" ~= "governance requirement" WHEN compliance_context;
 "policy exception" ~= "governance exception";
 "risk acceptance" ~= "accepted governance risk";
 "governance decision" ~= "authorised governance outcome";
}

# ---------- QUERY FLOW ----------
QUERY(q) ->
 NORMALISE(q) ->
 IDENTIFY_GOVERNANCE_SUBJECT(q) ->
 IDENTIFY_GOVERNANCE_SCOPE(q) ->
 IDENTIFY_APPLICABLE_POLICIES_STANDARDS_AND_REQUIREMENTS(q) ->
 RESOLVE_AUTHORITIES_OWNERS_STEWARDS_AND_CUSTODIANS(q) ->
 IDENTIFY_CONTROLS_PROCEDURES_AND_OBLIGATIONS(q) ->
 IDENTIFY_EXCEPTIONS_WAIVERS_AND_APPROVALS(q) ->
 EVALUATE_COMPLIANCE_RISK_AND_ISSUES(q) ->
 IDENTIFY_DECISIONS_EVIDENCE_AND_PROVENANCE(q) ->
 VALIDATE_GOVERNANCE_METADATA(q) ->
 APPLY_ACCESS_AND_SECURITY_POLICY(q) ->
 SCORE_CONFIDENCE(q) ->
 RETURN_AUTHORISED_GOVERNANCE_KNOWLEDGE;

# ---------- CONFIDENCE ----------
CONFIDENCE(assertion) :=
 weighted_mean(
  policy_authority,
  source_reliability,
  governance_consistency,
  evidence_strength,
  provenance_quality,
  contextual_relevance
 );

CONFIDENCE >= 0.90 => HIGH;
CONFIDENCE >= 0.70 AND < 0.90 => MODERATE;
CONFIDENCE < 0.70 => REVIEW;

# ---------- AI CONSUMPTION ----------
AI_CONSUMPTION {
 primary_entity: GovernanceMetadata;
 ontology: GovernanceMetadataOntology;
 parse_entities: true;
 parse_relationships: true;
 preserve_relationship_direction: true;
 resolve_semantic_equivalence: true;
 execute_reasoning_rules: true;
 apply_confidence_weighting: true;
 preserve_provenance: true;
 enforce_governance_policy: true;
}

# ---------- UPDATE MODEL ----------
UPDATE_MODEL {
 new_policy:
  assign_governance_identifier
  -> define_scope
  -> identify_authority
  -> define_rules_controls_and_requirements
  -> assign_responsibilities
  -> validate
  -> approve
  -> version
  -> integrate;

 governance_revision:
  preserve_previous_version
  -> apply_authorised_changes
  -> classify_material_change
  -> identify_affected_resources_controls_and_decisions
  -> revalidate_compliance
  -> audit
  -> regenerate_flow_hash;

 governance_decision:
  identify_subject_and_scope
  -> verify_decision_authority
  -> evaluate_policy_and_evidence
  -> record_outcome_and_reason
  -> attach_provenance
  -> integrate;

 exception:
  identify_requirement
  -> verify_exception_authority
  -> define_scope_and_expiry
  -> define_compensating_controls
  -> approve_and_audit
  -> integrate;

 remediation:
  identify_issue
  -> assign_owner
  -> define_actions_and_due_date
  -> track_status
  -> collect_evidence
  -> close_or_escalate;

 conflict:
  preserve_all_policies_and_requirements
  -> apply_precedence_rules
  -> compare_authority_scope_and_jurisdiction
  -> escalate_if_unresolved;
}

# ---------- FLOW HASH ----------
FLOW_HASH_INPUT :=
 DOMAIN
 + SUBDOMAIN
 + ONTOLOGY
 + GovernanceEntity
 + AuthorityEntity
 + ControlEntity
 + ComplianceEntity
 + GovernanceMetadata
 + GovernanceValidation
 + GovernanceDecision
 + RELATIONSHIPS
 + SEMANTIC_REASONING
 + SEMANTIC_EQUIVALENCE
 + UPDATE_MODEL;

FLOW_HASH := HASH(FLOW_HASH_INPUT);

# ---------- TERMINAL ----------
GovernanceMetadataOntology
 -> IdentifyGovernedResourceAndScope
 -> AssignStableGovernanceIdentifier
 -> ResolveApplicablePoliciesStandardsAndRequirements
 -> IdentifyAuthoritiesOwnersStewardsCustodiansAndApprovers
 -> DefineControlsProceduresObligationsAndProhibitions
 -> EvaluateComplianceRiskIssuesAndEvidence
 -> RecordGovernanceDecisionsApprovalsExceptionsAndWaivers
 -> ValidateAuthorityScopePolicyVersionAndControlConsistency
 -> TrackAuditFindingsRemediationAndReview
 -> ApplyGovernanceRulesToSearchAccessRAGAndAIUse
 -> PreservePolicyDecisionEvidenceAndVersionHistory
 -> MaintainAccountabilityAndMachineReadableGovernance
 -> MaintainReliableGovernanceMetadataKnowledge;

END FLOW