AI Governance & Audit Templates
Ready-to-use, editable templates for AI governance, compliance checklists, audit workflows, and implementation planning. Start building your AI oversight program today.
14
Templates
4
Categories
9
Industry Frameworks
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AI Usage Policy Template
Company-wide policy governing how employees may use AI tools, including approved use cases, prohibited activities, and escalation procedures.
Template Structure
1. Purpose & Scope
Define who the policy applies to, effective date, revision history...
2. Approved AI Tools & Platforms
List of sanctioned tools, version requirements, licensing status...
3. Acceptable Use Guidelines
Permitted use cases by department, data classification rules, output review requirements...
4. Prohibited Activities
Confidential data input restrictions, unsupervised publishing, regulatory filings without review...
5. Human Review Requirements
Review tiers by risk level, sign-off matrix, escalation workflow...
6. Incident Reporting & Enforcement
Violation reporting procedure, disciplinary framework, exception request process...
Available with any Frisby subscription or playbook purchase
AI Vendor Evaluation Scorecard
Structured scorecard to compare and evaluate AI tools and vendors across security, accuracy, compliance, cost, and integration dimensions.
Template Structure
1. Vendor Information
Company name, product name, contact, pricing model, contract terms...
2. Security & Privacy (weighted 25%)
Data handling policies, encryption standards, SOC 2 status, data residency...
3. Accuracy & Reliability (weighted 25%)
Hallucination rate benchmarks, source attribution, confidence scoring...
4. Compliance & Certifications (weighted 20%)
Industry certifications, regulatory alignment, audit trail capabilities...
5. Integration & Scalability (weighted 15%)
API availability, SSO support, deployment options, SLA guarantees...
6. Cost Analysis (weighted 15%)
Per-seat pricing, usage tiers, hidden costs, ROI projection...
7. Final Score & Recommendation
Weighted total score, comparison matrix, approval recommendation...
Available with any Frisby subscription or playbook purchase
AI Risk Assessment Matrix
Classify, score, and prioritize AI-related risks across your organization using a structured likelihood-impact framework with mitigation tracking.
Template Structure
1. Risk Identification
Risk ID, category (accuracy, security, compliance, bias), description, affected systems...
2. Likelihood Assessment (1-5 Scale)
Frequency of occurrence, historical data, environmental factors...
3. Impact Assessment (1-5 Scale)
Financial impact, reputational damage, regulatory penalties, operational disruption...
4. Risk Score & Heat Map
Calculated risk score, color-coded priority grid, threshold definitions...
5. Mitigation Plans
Control measures, responsible owner, implementation timeline, residual risk score...
6. Review Schedule
Quarterly review cadence, escalation triggers, board reporting requirements...
Available with any Frisby subscription or playbook purchase
HIPAA AI Compliance Checklist
Comprehensive checklist covering HIPAA requirements for AI systems handling protected health information, including technical safeguards and documentation.
Template Structure
1. PHI Identification & Mapping
Data flow diagrams, PHI touchpoints in AI pipeline, de-identification verification...
2. Technical Safeguards Checklist
Encryption at rest/in transit, access controls, audit logging, session management...
3. Administrative Safeguards
BAA with AI vendors, workforce training records, incident response plan...
4. AI-Specific HIPAA Controls
Prompt sanitization, output filtering for PHI leakage, model training data audit...
5. Documentation & Evidence Log
Compliance attestation dates, audit findings, remediation tracking...
Available with any Frisby subscription or playbook purchase
SOX AI Controls Checklist
Internal controls checklist for AI systems that touch financial reporting, ensuring Sarbanes-Oxley compliance for AI-generated financial content.
Template Structure
1. AI System Inventory
Systems touching financial data, classification by materiality, data flow mapping...
2. Input Controls
Data source validation, segregation of duties, authorization matrices...
3. Processing Controls
Calculation verification, exception handling, change management for AI models...
4. Output Controls
Reconciliation procedures, management review sign-off, variance analysis thresholds...
5. Audit Trail Requirements
Logging completeness, retention periods, tamper-proof storage, reviewer documentation...
Available with any Frisby subscription or playbook purchase
FINRA AI Communication Review
Review framework for broker-dealer AI-generated communications, ensuring FINRA Rule 2210 compliance for correspondence, retail, and institutional content.
Template Structure
1. Communication Classification
Retail vs. institutional vs. correspondence, approval tier assignment...
2. Content Review Checklist
Fair and balanced presentation, risk disclosure, performance claims verification...
3. AI Disclosure Requirements
AI-generated content labeling, supervisory review attestation, record retention...
4. Supervisory Review Log
Principal review sign-off, pre-use approval for retail, filing requirements...
Available with any Frisby subscription or playbook purchase
GDPR AI Data Processing Checklist
EU data protection compliance checklist for AI systems, covering lawful basis for processing, data subject rights, DPIAs, and cross-border transfer requirements.
Template Structure
1. Lawful Basis Assessment
Processing purpose, legal basis (consent, legitimate interest, contract), documentation...
2. Data Protection Impact Assessment (DPIA)
Necessity and proportionality, risk to data subjects, mitigation measures...
3. Data Subject Rights Procedures
Right to explanation for AI decisions, access requests, erasure from training data...
4. Cross-Border Transfer Controls
Standard contractual clauses, adequacy decisions, AI vendor data residency...
5. Record of Processing Activities
AI system registry, data categories, retention schedules, processor agreements...
Available with any Frisby subscription or playbook purchase
Document Accuracy Audit Worksheet
Step-by-step audit worksheet for systematically verifying AI-generated documents against source material, with scoring criteria and finding documentation.
Template Structure
1. Document Identification
Document title, AI tool used, generation date, author/reviewer assignment...
2. Source Material Checklist
List of reference sources, availability verification, currency of sources...
3. Claim-by-Claim Verification
Factual claim extraction, source cross-reference, accuracy rating (verified/unverified/false)...
4. Statistical & Numerical Audit
Number verification, calculation checks, unit consistency, date accuracy...
5. Overall Accuracy Score
Weighted scoring formula, pass/fail threshold, conditional approval criteria...
6. Findings & Corrections Log
Error descriptions, severity classification, correction actions, re-audit requirements...
Available with any Frisby subscription or playbook purchase
AI Output Review Log
Ongoing log to track every review of AI-generated content, capturing reviewer decisions, edits made, and approval status for audit trail purposes.
Template Structure
1. Log Entry Fields
Entry ID, date, AI tool, prompt summary, output type, reviewer name...
2. Review Outcome
Status (approved/revised/rejected), edit percentage, issues found, time spent...
3. Issue Classification
Factual error, hallucination, tone/style, compliance flag, bias detected...
4. Trend Tracking Dashboard Fields
Weekly approval rate, common error categories, tool comparison metrics...
Available with any Frisby subscription or playbook purchase
Hallucination Incident Report
Formal incident report template for documenting AI hallucinations, assessing impact, tracking root cause, and escalating to appropriate stakeholders.
Template Structure
1. Incident Identification
Incident ID, date discovered, AI system involved, reporter name and role...
2. Hallucination Description
Exact false content generated, expected correct content, context of generation...
3. Impact Assessment
Was content published? Who saw it? Financial/legal/reputational exposure, severity rating...
4. Root Cause Analysis
Prompt engineering issues, model limitations, missing guardrails, training data gaps...
5. Remediation & Prevention
Immediate corrections, process changes, guardrail updates, follow-up review date...
6. Escalation Log
Stakeholders notified, executive briefing (if required), regulatory disclosure (if required)...
Available with any Frisby subscription or playbook purchase
Monthly AI Accuracy Report Template
Recurring monthly report format for tracking AI accuracy metrics, hallucination rates, review volumes, and trend analysis across your organization.
Template Structure
1. Executive Summary
Overall accuracy score, month-over-month trend, key incidents, headline metrics...
2. Volume Metrics
Total AI outputs generated, total reviewed, review coverage percentage...
3. Accuracy Breakdown
Accuracy by tool, by department, by content type, hallucination rate...
4. Incident Summary
Number of incidents, severity distribution, resolution times, open items...
5. Trend Analysis & Recommendations
3-month trend charts, improvement areas, recommended process changes...
Available with any Frisby subscription or playbook purchase
AI Adoption Roadmap Template
Phased rollout plan for AI adoption across your organization, from pilot program through full deployment, with milestones, risk checkpoints, and success criteria.
Template Structure
1. Current State Assessment
Existing AI usage inventory, maturity level, organizational readiness score...
2. Phase 1 — Pilot (Weeks 1-4)
Use case selection, team assignment, success metrics, risk boundaries...
3. Phase 2 — Controlled Expansion (Weeks 5-12)
Department rollout sequence, training schedule, governance framework activation...
4. Phase 3 — Full Deployment (Weeks 13-24)
Organization-wide enablement, monitoring infrastructure, continuous improvement cycle...
5. Risk Checkpoints & Go/No-Go Gates
Phase transition criteria, escalation triggers, rollback procedures...
6. Success Metrics & KPIs
Adoption rate targets, accuracy thresholds, ROI milestones, user satisfaction...
Available with any Frisby subscription or playbook purchase
AI Training Curriculum Outline
Structured training program template for upskilling teams on AI tools, covering role-based modules, assessment criteria, and certification tracking.
Template Structure
1. Training Needs Assessment
Role-based skill gaps, current AI literacy baseline, priority ranking...
2. Module 1 — AI Fundamentals (All Staff)
What AI can and cannot do, hallucination awareness, responsible usage principles...
3. Module 2 — Tool-Specific Training (By Role)
Approved tool walkthroughs, prompt engineering basics, output verification techniques...
4. Module 3 — Compliance & Governance (Managers+)
Policy requirements, review responsibilities, incident reporting procedures...
5. Assessment & Certification
Knowledge checks, practical exercises, certification criteria, recertification schedule...
6. Training Calendar & Logistics
Session dates, facilitator assignments, attendance tracking, feedback collection...
Available with any Frisby subscription or playbook purchase
AI ROI Calculator Worksheet
Structured worksheet to quantify AI investment returns, comparing costs (licensing, training, oversight) against measurable benefits (time savings, error reduction, revenue impact).
Template Structure
1. Cost Inventory
AI tool licensing, implementation costs, training hours, ongoing oversight labor...
2. Time Savings Calculation
Tasks automated, hours saved per week, hourly cost by role, annual time savings value...
3. Quality Impact
Error rate reduction, rework elimination, compliance violation prevention value...
4. Revenue Impact
Faster time-to-market, increased output volume, customer satisfaction improvements...
5. ROI Summary
Total cost, total benefit, net ROI percentage, payback period, break-even timeline...
Available with any Frisby subscription or playbook purchase
// Industry Frameworks
Pre-Built Audit Frameworks by Industry
Pre-configured audit frameworks tailored to your industry's document types, risk categories, and compliance requirements.
Enterprise
Real Estate
Audit listings, valuations, and market analyses for factual accuracy and fair housing compliance.
Document Types
Listing descriptionsProperty valuationsMarket analysesCMA reportsDisclosure statements
Risk Categories
Property value inflation
Market data fabrication
Undisclosed defects
Comparable manipulation
Compliance Flags
Fair Housing ActState disclosure lawsNAR ethics standardsRESPA
Professional
$149/mo
Regulated
Lending
Verify appraisals, income docs, and loan estimates against RESPA/TILA requirements.
Document Types
Appraisal reportsIncome verificationLoan estimatesClosing disclosuresUnderwriting narratives
Risk Categories
Appraisal inflation
Income misrepresentation
DTI manipulation
Undisclosed liabilities
Compliance Flags
RESPATILA/TRIDECOAFair LendingQM/ATRFannie Mae/Freddie Mac
Lender & Regulated
$399/mo
Regulated
Legal
Detect fabricated citations, misquoted statutes, and hallucinated precedents in legal documents.
Document Types
BriefsContractsMemorandaDiscovery summariesDue diligence reports
Risk Categories
Fabricated case citations
Misquoted statutes
Hallucinated precedents
Incorrect dates
Compliance Flags
Court rulesBar ethicsPrivilege complianceDiscovery obligations
Enterprise
$399/mo
Regulated
Healthcare
Audit clinical content for PHI exposure, drug safety, and HIPAA compliance.
Document Types
Clinical summariesPatient communicationsResearch abstractsFormulary documentsDischarge instructions
Risk Categories
PHI exposure
Clinical misinformation
Drug interaction errors
Dosage inaccuracies
Compliance Flags
HIPAAHITECHFDA regulationsCMS guidelinesState health privacy laws
Lender & Regulated
$399/mo
Regulated
Insurance
Validate policy documents, claims summaries, and actuarial analyses against DOI regulations.
Document Types
Policy documentsClaims summariesUnderwriting reportsActuarial analysesMarketing materials
Risk Categories
Coverage misrepresentation
Actuarial data fabrication
Exclusion omissions
Regulatory non-compliance
Compliance Flags
State DOI regulationsNAIC model lawsFair claims practicesAnti-rebating laws
Lender & Regulated
$399/mo
Enterprise
Consulting
Audit strategy decks and benchmarking reports for fabricated data and inflated projections.
Document Types
Strategy decksMarket analysesBenchmarking reportsROI projectionsImplementation plans
Risk Categories
Fabricated benchmarks
Inflated projections
Unverified market data
Misleading comparisons
Compliance Flags
Client confidentialityData attributionMethodology transparency
Professional
$149/mo
Regulated
Government
Ensure policy briefs, grant applications, and regulatory filings meet public transparency standards.
Document Types
Policy briefsGrant applicationsRegulatory filingsPublic communicationsAudit responses
Risk Categories
Misquoted regulations
Fabricated statistics
Budget data errors
Compliance gaps
Compliance Flags
FOIAADAOMB circularsAgency-specific regulationsPublic records laws
Enterprise
$399/mo
Enterprise
Energy
Audit environmental assessments, ESG disclosures, and safety reports for data integrity.
Document Types
Environmental assessmentsSafety reportsRegulatory filingsESG disclosuresOperational audits
Risk Categories
Emissions data fabrication
Safety record manipulation
Regulatory non-compliance
ESG greenwashing
Compliance Flags
EPA regulationsOSHANEPASEC ESG disclosure rulesState environmental laws
Professional
$149/mo
Growth
Construction
Verify bid proposals, safety plans, and inspection reports for accuracy and OSHA compliance.
Document Types
Bid proposalsSafety plansInspection reportsChange ordersCompliance certificates
Risk Categories
Cost estimation errors
Safety record fabrication
Material specification inaccuracies
Timeline manipulation
Compliance Flags
OSHABuilding codesADAEnvironmental regulationsBonding requirements
Essentials
$29/mo
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