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Deploy AI Safely

GenAI Governance Policy

Deploy AI safely with a 5-principle framework and HITL controls

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Where This Policy Fits in Your AI Governance Stack

 

Features List

5

Governance Principles

3

Risk Tiers

1 Week

To Launch Governance

Why Finance Leaders Use This Policy

Board-Ready in Days

Most finance teams spend weeks drafting AI governance from scratch. This policy gives you a complete, version-controlled framework you can present to the board within a week. No legal team required to get started.

Risk Tiering Built In

Not all AI tools carry the same risk. This policy's Green/Amber/Red tier system tells your team exactly which controls apply to each use case. You stop guessing and start governing with precision.

Human Oversight Enforced

HITL controls are built into every tier. Red-tier applications require 100% human review before release. Amber-tier requires 15% sampling. You keep accountability where it belongs — with your people.

Audit-Ready Documentation

Every requirement maps to a specific standard and section. Auditors can trace decisions back to documented controls. You walk into reviews confident, not scrambling.

Multi-Platform Coverage

Built to govern Claude, ChatGPT, Perplexity, Gemini, and any LLM accessed via API. Your policy works across the AI tools your team actually uses today.

What You Get

  • GenAI Governance Policy v3.0

    The master policy document. 10 sections covering governance principles, structure, risk tiering, lifecycle gates, incident management, vendor due diligence, training, exceptions, and compliance enforcement.

  • 5-Principle Governance Framework

    Detailed requirements for Transparency, Human Accountability, Ethical Use, Data Protection, and Compliance — each with specific implementation references.

  • 3-Tier Risk Classification System

    Green/Amber/Red tiering criteria with a full control requirements summary, review cadences, incident response times, and log retention rules.

  • 7-Stage Lifecycle Governance Model

    Governance gates from Ideation through Retirement, with an Approval Authority Matrix showing who signs off at each tier for each decision type.

  • Incident Management Framework

    4-level severity classification (Critical to Low) with response SLAs: Critical = 1 hour, High = 4 hours, Medium = 24 hours, Low = 48 hours.

  • Third-Party Comfort Index (TCI)

    A vendor scoring formula (Documentation, Transparency, Regulatory Alignment) with Buy/Hold/No-Buy thresholds for approving third-party AI tools.

  • Policy Hierarchy with Cross-References

    Full linkage to MRM Standards v3.0, Data Classification Policy v4.0, HITL Checklist v2.0, and Third-Party Due Diligence template.

  • Mandatory Training Requirements Table

    Role-based training matrix covering All Employees, GenAI Users, Developers, Model Owners, HITL Reviewers, and AI Oversight Committee.

When to Use This Policy

Launching AI for the first time

Your team is about to deploy its first AI tool and leadership is asking for a governance policy. Use this to stand one up in under a week, with risk tiers, controls, and an approval authority matrix already defined.

Preparing for an audit or board review

Auditors and board members are asking how AI is governed. This policy gives you documented principles, cross-referenced standards, and a clear three-lines-of-defense structure to present with confidence.

Onboarding a third-party AI vendor

Before signing with any AI vendor, you need a structured due diligence process. The TCI scoring formula and vendor assessment requirements section give you a defensible, repeatable approach.

Scaling AI across business units

You're moving from one AI pilot to ten. The 7-stage lifecycle governance model and approval authority matrix tell each team exactly what sign-off they need before deploying anything new.

Responding to a data or AI incident

Something goes wrong. The incident severity classification (Critical/High/Medium/Low) and 7-step response procedure give your team a clear path from detection to board-level escalation.

What the 5-Principle Framework Covers

Principle What It Requires Key Metric / Standard
Transparency & Explainability All GenAI outputs logged, traceable, and auditable with 10 mandatory fields Response consistency ≥ 90%; log retention 6–24 months by tier
Human Accountability HITL mandatory for Red tier, final decisions stay with authorized people 100% review (Red), 15% sampling (Amber), dual sign-off for financial outputs
Ethical Use No biased, discriminatory, or misleading outputs; mandatory red-team testing Bias score ≤ 0.10; hallucination rate ≤ 5%; accuracy ≥ 85%
Data Protection & Privacy Data classified at four levels; PII/PCI prohibited unless anonymized Zero PII leakage tolerance; k-anonymity ≥ 5; re-identification risk < 5%
Compliance Alignment Aligns with EU AI Act, GDPR, PDPA, CCPA; audit-ready documentation Third-party TCI ≥ 0.75 for Buy; audit docs available on request

Common Questions

Your AI Deployment Needs a Policy. This Is the One.

A complete GenAI governance framework built for finance leaders. Updated for 2026.

Get the Policy