AI or Algorithm Officer Appointment Record

How to use this document

• Use it to formally record the appointment of the person responsible for AI in the organization, or for a specific algorithm, with their duties, independence, resources and reporting line.
• It should be adopted by the body with authority to make the appointment: board of directors, senior management or, in public bodies, the head of the entity. The [AI COMMITTEE] proposes and follows up.
• Before using it, decide the scope of the role (all of the organization's AI or specific algorithms), whether the role is full-time or combined with others, whom it reports to and what resources it has.
• In the organization's AI governance system, this person is the "AI lead": they decide in the yellow lane and coordinate the rest of the system. Their decision powers, the escalation thresholds and the approval deadlines are defined in the "AI Governance Operating Model"; the record does not repeat them.
• Complete the meeting details, the appointee's details and annexes A (systems covered) and B (conflict of interest declaration).
• If the organization is a supervised fintech in Ecuador or a public body in Peru, keep the corresponding variant: it adds the regulator's own requirements. Otherwise, the record can be used as good practice and the variants deleted.
• Ask internal legal or an outside advisor to review the record, especially accreditation and communications to the regulator.
• Sign the record, announce it internally, file the acceptance and update the organization chart and the AI system inventory.

AI or Algorithm Officer Appointment Record

Field	Content
Organization	[LEGAL ENTITY NAME] ([ORGANIZATION NAME])
Appointing body	[COMPLETE: board of directors / management board / chief executive / head of the entity]
Place and date of the meeting	[COMPLETE] / [DATE]
Format	In person / Virtual / Hybrid
Attendees	[COMPLETE]
Quorum	[COMPLETE]
Chair	[COMPLETE]
Secretary	[COMPLETE]

1. Background

1.1. [ORGANIZATION NAME] uses artificial intelligence systems and algorithms in processes that affect customers, users, staff or the public, as recorded in the AI system inventory.

1.2. The organization has adopted a responsible AI use policy and set up the [AI COMMITTEE], which has proposed the appointment of a responsible person with defined duties, independence and sufficient resources.

1.3. [OPTIONAL] The appointment also responds to the regulator's requirements set out in the applicable country variant.

2. Resolutions

2.1 Appointment

[COMPLETE: full name], ID document [COMPLETE], currently holding the position of [COMPLETE: current position], is appointed as [COMPLETE: AI Officer / Algorithm Officer / Head of AI Governance] of [ORGANIZATION NAME], effective [DATE].

The appointment lasts [COMPLETE: term or "indefinitely"] and may be renewed by resolution of the same body.

2.2 Scope

The appointee exercises their duties with respect to:

• all of the organization's AI systems listed in the AI system inventory; or
• the systems or algorithms listed in annex A.

2.3 Duties

The appointee has, at a minimum, the following duties:

1. Keep the "AI System Inventory" and the risk classification of each system under the "AI Risk Classification Matrix" up to date.
2. Verify that each system or algorithm produces results consistent with the purpose for which it was approved, through validation before deployment and ongoing monitoring.
3. Coordinate risk and impact assessments, including detection of bias and discriminatory effects.
4. Oversee high-risk systems and check that the planned human oversight works in practice.
5. Decide on yellow-lane systems (medium risk) within the deadlines of the "AI Governance Operating Model," and recommend to the [AI COMMITTEE] the decision on red-lane systems, as well as their suspension or retirement, recording their opinion in writing.
6. Coordinate the response to incidents affecting AI systems and their escalation.
7. Oversee AI vendors with regard to documentation, model changes and results.
8. Promote AI training and literacy among staff.
9. Act as point of contact with regulators and authorities on AI matters, without prejudice to the duties of the data protection officer.
10. Report periodically to the governing body as set out in section 2.7.
11. Monitor that AI risks stay within the risk appetite (see "AI Risk Appetite Statement") and report immediately when they do not.

2.4 Profile

The appointee has knowledge of [COMPLETE: risk management, data science, model auditing, AI regulation and data protection] and [COMPLETE: years] of experience in related roles. Their résumé is attached to the file.

[BASIC LEVEL] In organizations of fewer than about 50 people that only use purchased AI tools, the role may be held by the general manager or by a person who combines it with other duties, with an indicative time commitment of [COMPLETE: e.g., 2 to 4 hours a week] and support from external advisors on data protection and security.

2.5 Independence and conflicts of interest

1. The appointee does not receive instructions on the content of their assessments, opinions or reports.
2. The appointee may not be penalized or dismissed for the legitimate performance of their duties.
3. The appointee has direct access to the [COMPLETE: governing body] and the [AI COMMITTEE].
4. The appointee declares conflicts of interest in annex B and updates them when they change.
5. [OPTIONAL] The appointee does not verify systems they developed directly; in those cases verification is carried out by [COMPLETE: deputy or independent third party].
6. If the appointee combines this role with other duties, those duties must not conflict with oversight of the systems.

2.6 Resources

The organization provides the appointee with:

• time commitment of [COMPLETE: percentage of working time or "full-time"];
• an annual budget of [COMPLETE] for tools, external audits and training;
• a support team: [COMPLETE];
• access to the information, systems, technical documentation, logs and vendors needed for their duties;
• ongoing training of at least [COMPLETE: hours] per year.

2.7 Reporting line

1. The appointee reports functionally to [COMPLETE: governing body or committee] and administratively to [COMPLETE].
2. The appointee submits a regular report every [REVIEW FREQUENCY] covering, at a minimum: inventory status, new or modified systems, verification and assessment results, incidents, AI-related complaints and pending actions.
3. The appointee submits an extraordinary report without delay upon detecting a serious incident, a result inconsistent with a system's purpose or a risk requiring a management decision.

2.8 Deputy

In case of absence, vacancy or conflict of interest, the duties are performed by [COMPLETE: name and position of the deputy], with the same guarantees of independence.

2.9 Communication

1. The appointment is announced to all staff and AI system owners through [COMPLETE: channel] within [COMPLETE: number] days.
2. The role's contact details are: [AI GOVERNANCE EMAIL].
3. Where applicable, the appointment is communicated to the regulator or authority as set out in the applicable country variant.

2.10 Revocation and termination

The appointment may be revoked by a reasoned resolution of the same body. Termination and the appointment of a successor are documented in a new record and announced in the same way as the appointment.