RRTA-14
ROLES · RESPONSIBILITIES · DELEGATION · ACCOUNTABILITY
Institutional Roles & Responsibility
A role is not a title alone. It is a bounded assignment of authority, competence, evidence duties, decision rights, execution limits, escalation obligations, and outcome accountability.
What the role is permitted and required to decide.
What knowledge, qualification, and experience the role must possess.
What records the role must create, inspect, preserve, or challenge.
What outcome the role must answer for and cannot delegate away.
ROLE CONTROL DESK
Find the role. Inspect the authority. Preserve the boundary.
Use the index to inspect responsibilities, required evidence, and the limits that prevent titles from becoming unbounded permission.
GB
Institutional authority
Governing Body
Sets institutional direction, approves policy, establishes risk appetite, appoints accountable officers, and preserves ultimate oversight responsibility.ROLE MANDATESets institutional direction, approves policy, establishes risk appetite, appoints accountable officers, and preserves ultimate oversight responsibility.
Core responsibilities4
01
Approve governance policy and institutional objectives
02
Define risk appetite, consequence thresholds, and escalation boundaries
03
Review material failures, exceptions, and unresolved authority conflicts
04
Require evidence of implementation, not merely policy publication
Required evidence4
01
Board resolutions
02
Approved policies
03
Delegation records
04
Management review minutes
◆ Cannot delegate away ultimate accountability
◆ Must distinguish oversight from operational execution
ROLE AUTHORITY CHAIN
A title becomes governable only when its mandate survives every link.
TA-14 preserves the route from institutional mandate through delegated role, competent decision, controlled execution, and accountable outcome.
01Mandate→
02Delegation→
03Role→
04Competence→
05Evidence→
06Decision→
07Execution→
08Outcome
ROLE FAILURE MODES
Most accountability failures begin before the decision.
These conditions should create HOLD, DENY, or ESCALATE rather than being hidden behind organizational titles.
No named person or body owns the decision.
Two roles claim incompatible authority.
The delegation or appointment is no longer current.
The role lacks required qualification or domain knowledge.
The role decides without access to necessary evidence.
Human review exists only nominally.
Technical systems act outside the committed determination.
No role remains accountable after action is taken.
ROLE RESOLUTION SCENARIOS
See how multiple roles combine around one consequential event.
No single title governs the entire route. Each scenario requires distinct authority, evidence, decision, execution, and outcome responsibilities to remain visible.
01AI Governance
AI account suspension
A system proposes suspending a user account after detecting suspicious behavior.
Required roles
System or Capability OwnerAuthority ResolverHuman ReviewerEvidence Steward
Questions that must be resolved
- Is the suspension authority current and role-specific?
- Does the evidence support this account, event, and version?
- Is human review required before consequence?
- Who verifies the post-action outcome?
TA-14 role determination
HOLD when identity, authority, evidence, or review conditions remain incomplete.
02Environmental Integrity
Hospital pressure failure
A hospital isolation room loses required pressure relationship during occupancy.
Required roles
Environmental Record OwnerEnvironmental ReviewerTechnical LeadIncident Authority
Questions that must be resolved
- Which activity and occupants are affected?
- What instrument and method establish the pressure state?
- Who may restrict, relocate, or close the room?
- What evidence supports reopening?
TA-14 role determination
ESCALATE when patient safety, clinical authority, or conflicting evidence exceeds delegated scope.
03Environmental Integrity
Refrigerant charging intervention
A technician proposes charging a system after incomplete evacuation evidence.
Required roles
Technical LeadEnvironmental ReviewerEvidence StewardSystem or Capability Owner
Questions that must be resolved
- Is the technician competent and authorized?
- Is evacuation evidence complete and attributable?
- Are refrigerant and equipment identities preserved?
- What outcome measurements are required?
TA-14 role determination
DENY when the proposed intervention would bypass required evidence or safety controls.
04Law and Public Policy
Clean Air Act applicability
A facility must determine whether an emissions activity triggers federal or state duties.
Required roles
Authority ResolverLegal CounselCompliance LeadEnvironmental Record Owner
Questions that must be resolved
- Which source category and jurisdiction apply?
- What permit or regulatory program controls?
- Which adopted method and edition govern measurement?
- Who signs the resulting determination?
TA-14 role determination
HOLD until jurisdiction, applicability, method, and responsible authority are resolved.
05AI Governance
Model version change
A provider replaces the production model while preserving the same product name.
Required roles
Model OwnerSystem or Capability OwnerRisk OwnerIndependent Assessor
Questions that must be resolved
- Is the change material to performance or risk?
- Which prior evidence is no longer current?
- Who approves revalidation and redeployment?
- What users or decisions are affected?
TA-14 role determination
HOLD until the new version is tested, approved, and bound to current authority.
06Environmental Integrity
Water contamination result
A laboratory reports a contaminant above a threshold in a drinking-water sample.
Required roles
Laboratory or Measurement AuthorityEnvironmental Record OwnerAuthority ResolverIncident Authority
Questions that must be resolved
- Was sample custody preserved?
- Is the method within laboratory scope?
- Which threshold and jurisdiction apply?
- Who has notification and protective-action authority?
TA-14 role determination
ESCALATE when public-health notification or emergency action may be required.
07Institutional Review
Entity review submission
An outside entity submits a broad claim that its platform guarantees compliant AI.
Required roles
TA-14 Institutional ReviewerEvidence StewardAuthority ResolverIndependent Assessor
Questions that must be resolved
- Can the claim be bounded to one capability?
- What evidence and versions support it?
- What is outside scope?
- What may be published or registered?
TA-14 role determination
HOLD until claim, non-claim, evidence, authority, and publication boundaries are complete.
08Law and Standards
Standard incorporated by reference
A contract cites the latest ASHRAE standard while local code adopted an older edition.
Required roles
Authority ResolverLegal CounselCompliance LeadTechnical Lead
Questions that must be resolved
- Which edition is legally adopted?
- Does the contract impose a newer requirement?
- Can both duties coexist?
- What evidence proves implementation?
TA-14 role determination
ESCALATE when adopted law and contractual duty conflict or create different thresholds.
09Institutional Operations
Security incident with evidence risk
A security event threatens logs and execution records needed for later review.
Required roles
Security OfficerIncident AuthorityEvidence StewardSystem or Capability Owner
Questions that must be resolved
- What must be contained immediately?
- Which evidence must be preserved before remediation?
- Who may isolate systems or revoke credentials?
- How will continuity be demonstrated afterward?
TA-14 role determination
ALLOW emergency containment only within time-limited authority and evidence-preservation controls.
10Data Governance
Privacy deletion request
A person requests deletion of data that also forms part of a legally required record.
Required roles
Privacy OfficerLegal CounselData StewardEvidence Steward
Questions that must be resolved
- Which rights and exemptions apply?
- What retention authority controls?
- Can data be restricted or separated instead of erased?
- Who documents the final determination?
TA-14 role determination
HOLD until privacy rights, retention duties, and evidence integrity are reconciled.
11Institutional Record
Registry correction
A registered entity discovers a material error in a previously published record.
Required roles
Registry or Record RegistrarEvidence StewardTA-14 Institutional ReviewerSystem or Capability Owner
Questions that must be resolved
- Can the error be corrected without erasing history?
- Does the correction change prior findings?
- Who approves supersession?
- What users must be notified?
TA-14 role determination
ALLOW correction only with preserved prior version, reason, authority, and effective date.
12TA-14 Academy
Academy credential decision
A learner passes an assessment but has not demonstrated live operational competence.
Required roles
Academy Instructor or AssessorGoverning BodySystem or Capability OwnerHuman Reviewer
Questions that must be resolved
- What does the credential actually attest?
- What operational authority remains separate?
- Are accommodations and assessment integrity preserved?
- Who grants live-role authorization?
TA-14 role determination
DENY automatic execution authority; issue only the bounded learning or readiness credential supported.
TA-14ACADEMYROLE RESOLUTION
ROLE & RESPONSIBILITY ACADEMY
Learn the mandate before accepting the title.
The Academy teaches how roles are created, delegated, limited, evidenced, challenged, suspended, superseded, and connected to real execution and outcome accountability.
Read the instrument that creates the role.
Trace who delegated what to whom.
Prove readiness for the assigned duty.
Know what the role may allow, hold, deny, or escalate.
Create and preserve the evidence the role owes.
Practice conflicts, exceptions, and adverse outcomes.
TA-14 INSTITUTIONAL ROLE RESOLUTION