Executive Summary
Consistency verification indicates zones where the outcome is sensitive to high-leverage parameters and implicit assumptions. Decision use should be restricted to explicit validity boundaries.
- Outcome: The model is consistent within a limited data corridor.
- Primary risk (CRITICAL): missing explicit boundary conditions.
- Recommendation: introduce decision gates and an audit trail.
Decision posture: a decision is defensible only when validity boundaries are explicit and enforceable.
Scope & assumptions
This excerpt demonstrates typical integrity report components: inputs, assumptions, constraints, and ownership.
| Element | Description | Notes |
|---|---|---|
| Inputs | Data sources, frequency, input validation | Consistency and completeness checks required |
| Assumptions | Explicit and implicit assumptions; high-leverage parameters | Each assumption has an owner and rationale |
| Constraints | Non-valid zones, drift risk, missing data | Out-of-scope output = no decision use |
Validity boundaries
Validity boundaries define when the model output may be used for decisions and when escalation is required.
- Boundaries are defined as boundary conditions (data corridor).
- Boundary violations generate audit trail entries.
- Boundaries map to risks and control gates.
Risk register
Sample excerpt of a risk register. A full version includes: status, owner, due date, control gate, and evidence.
| Level | Risk | Owner | Gate |
|---|---|---|---|
| CRITICAL | Missing explicit boundary conditions / no defined non-valid zone. | Compliance + Model Owner | Gate-01: Validity Boundaries Signed-off |
| MAJOR | High sensitivity to a high-leverage parameter without assigned ownership. | Model Owner | Gate-02: Assumption Ownership |
| MODERATE | Input data drift risk without monitoring controls. | Data Steward | Gate-03: Drift Monitoring |
Decision Audit Trail
The audit trail is a formal record: inputs → logic → decision → accountability, built for internal/external review.
- Inputs: sources + validation + snapshot timestamp.
- Logic: rules / model / exceptions / fallback.
- Decision: who decided, on what basis, with what limitations.
- Accountability: owner + approval + gate evidence.
Institutional requirement: if the audit trail cannot be articulated, output should not drive decisions.
Appendix: definitions & controls
- Validity Boundary: boundary condition for permissible decision use.
- Decision Gate: control checkpoint enforcing auditability.
- Owner: accountable person for an assumption/parameter/control.
This is a structural example. Real reports are adapted to the selected audit area and agreed document workflow.