Governance

AI Governance Checklist

Controls, approval gates, and audit trails for finance-grade AI workflows.

Preview

A snippet of the actual file contents — full version included with purchase.

Start Here.xlsx

LS FINANCIAL MANAGEMENT GROUP

AI Governance Checklist

Controls, approval gates, and audit trails for finance-grade

How to use this workbook

• Yellow cells are inputs — change them for your business.

• Black cells contain formulas — do not overwrite.

• Green text references other worksheets in this file.

• Use the tabs at the bottom to navigate.

Policy Foundations.xlsx

AI Use Policy — Foundations
#	Control	Evidence	Status	Owner
1	AI Use Policy approved by CFO		Not Started
2	Acceptable use guidelines published		Not Started
3	Restricted data classes documented		Not Started
4	Approved AI vendors registered		Not Started
5	LLM gateway / private endpoint mandated		Not Started
6	PII tokenisation rule in effect		Not Started
7	Prompt library versioning standard		Not Started

Approval Gates.xlsx

Approval Gates by Workflow Risk Tier
#	Tier	Required Approvers	Status	Notes
1	Tier 1 — Drafting only	Single reviewer	Not Started
2	Tier 2 — Customer-facing drafts	Lead + lead's manager	Not Started
3	Tier 3 — Autonomous send under $ threshold	Controller sign-off + sample QA	Not Started
4	Tier 4 — Credit decisioning	Controller + CFO + Risk	Not Started
5	Tier 5 — Cash posting	CFO + audit notification	Not Started

Audit Trail.xlsx

Audit Trail Requirements
#	Requirement	Evidence	Status	Notes
1	Prompt version captured per call		Not Started
2	Input data hash captured		Not Started
3	Model name + version captured		Not Started
4	Output stored alongside approver ID		Not Started
5	Override / edit history retained		Not Started
6	Retention period documented		Not Started
7	Quarterly export to internal audit		Not Started