Regulatory Incident Response
Purpose: Rapid Expert Engagement When Regulators Come Knocking
When a regulator initiates an inquiry, audit, or enforcement action related to your AI or data practices, the clock starts immediately. DW Governance provides rapid engagement to assess your governance posture, identify exposure, and help you respond credibly—drawing on 24 years of Fortune 500 implementation experience and AIGP certification.
When to engage
Common Triggers
→ Regulatory inquiry or notice from a federal or state agency (FTC, CPPA, state AG, OCR, CFPB)
→ AI-related enforcement action or formal investigation
→ Audit demand requiring documentation of AI governance controls
→ Customer complaint escalated to a regulator involving AI decision-making
→ Pre-audit situation where gaps in governance documentation have been identified internally
Approach
How I Engage
Rapid Assessment
Evaluate governance documentation and identify exposure within 48-72 hours
1
→
Book time with me
30-minute diagnostic. We’ll discuss the situation and determine whether an investigation engagement is the right fit.
2
→
Gap Analysis
Map regulatory requirements against your existing controls and policies
3
→
Response Support
Help prepare governance documentation and evidence packages for regulators
4
Remediation Path
Define corrective actions that satisfy regulatory expectations
Deliverables
What You Get
Governance Posture Assessment
Rapid review of existing AI governance controls and documentation
Evidence Package Support
Documentation to support your regulatory response
Regulatory Exposure Analysis
Mapped against the specific inquiry or enforcement action
Remediation Roadmap
Prioritized corrective actions to satisfy oversight requirements
For Legal Counsel & Law Firms
Technical Governance Support for Regulatory Matters
Legal terms handling regulatory matters involving AI systems can engage DW Governance for technical governance analysis. I provide the AI governance depth; you maintain the client relationship and legal strategy.
Governance posture review
Technical documentation
Expert Analysis
Remediation planning