Governance Review Queue
8 events requiring attention sorted by severity
Event ID
Type
Summary
Assigned
Time
Status
EVT-004829
Marketing Claim
Outcome certainty language in client email
COLP
14:03
Blocked
EVT-004831
AML / Sanctions
OFSI-sensitive matter no EDD recorded
COLP
13:47
Blocked
EVT-004826
Unapproved AI Tool
Unregistered tool output J.Thornton
COLP
12:58
Blocked
EVT-004830
Client Comms
Ambiguous advice language review before dispatch
COLP/COFA
14:01
Review
EVT-004828
Data Handling
Near-identifiable pattern redaction borderline
COLP
13:55
Review
EVT-004825
Financial Promotion
Fee comparison claim FCA trigger possible
COFA
12:31
Review
EVT-004822
Consumer Duty
Outcome documentation incomplete audit gap
COLP
11:44
Review
EVT-004819
Missing Disclaimer
Mandatory disclaimer absent from AI output
COLP/COFA
10:52
Review
EVT-004818
Internal Comms
Standard internal email no issues
Auto
10:47
Logged
Immutable Audit Ledger
Every decision. Timestamped. Attributed. Retrievable.
14:09
Decision: EVT-004829 Rejected by COLP
ASA_CLAIM_001 outcome certainty language. Decision: Rejected. Reason: misleading guarantee. Officer: R.Hassan (COLP). Evidence hash: 7f3a9c2e.
14:05
Rule triggered: ASA_CLAIM_001 Marketing Claim Review
EVT-004829 flagged. Outcome certainty language pattern matched. Confidence 0.92. Routed to COLP queue. File work blocked pending authorisation.
14:03
Event captured: EVT-004829
Fee earner: A.Williams. Type: Marketing claim. AI tool: Microsoft Copilot (v365-001). Audit entry written. Identity captured. Session logged.
13:58
Override recorded: EVT-004817 approved with justification
COLP override. Reason: Client urgency matter time-sensitive. Justification provided. Identity confirmed. Override hash: a4d2f891. Audit immutable.
13:47
Rule triggered: MLR_2017_AML_001 OFSI Sensitive Matter
EVT-004831. Transaction value £84,233. Jurisdiction match: OFSI restricted list. No EDD on record. SAR consideration required. Blocked pending COLP.
13:22
Batch logged: 12 GREEN events (13:00–13:22)
Internal comms and routine document outputs. No regulatory triggers. All proceeded automatically. Batch ID: BATCH-1322. 12 entries written to ledger.
12:58
Shadow AI detected: unregistered tool in J.Thornton output
Metadata analysis revealed tool fingerprint not in governed registry. EVT-004826 created. File work blocked. COLP notified. Tool logged for investigation.
09:00
Governance session started COLP authenticated
R.Hassan (COLP) authenticated. Governance layer active. Session ID: SES-20260525-001. All activity from this point is governed and audited.
Shadow AI Monitor
2 unregistered tools detected today
△ Unregistered AI Activity Detected
Two fee earners have submitted outputs containing fingerprints of AI tools not present in the governed tool registry. This constitutes ungoverned AI activity. File work from these outputs is blocked until the COLP investigates and either registers the tools or rejects the outputs.
EVT-004826
J.Thornton Litigation
Tool fingerprint: ChatGPT-4o (unregistered personal account). Output submitted for client document. No DPIA. Not in governed registry.
COLP
12:58
Blocked
EVT-004801
M.Okafor Conveyancing
Tool fingerprint: Perplexity AI (unregistered). Used for legal research. Output integrated into client advice without governance check.
COLP
09:14
Review
Microsoft Copilot for M365
REGISTERED
Claude (Anthropic) Firm Account
REGISTERED
Lexis+ AI
REGISTERED
Evidence Pack Builder
SRA-ready audit package retrievable in under 60 seconds
● Evidence Pack Ready
Your governance evidence pack can be assembled and exported immediately. Every compliance decision from today is timestamped, attributed, and retrievable. If the SRA walked in now, you could produce it in under 60 seconds.
Audit Ledger Export All governed events, timestamped and hashed
Ready
Decision Log All COLP/COFA decisions with justifications and identity
Ready
Tool Registry Approved AI tools, DPIA references, registration dates
Ready
Override Register All COLP overrides with reasons and timestamps
Ready
Shadow AI Report Unregistered tool detections and investigation status
Pending
Privacy Validator Log All validation events, pass/fail, permanently recorded
Ready
COLP Status & Certification
SRA Regulation 19 named individual accountability
R. Hassan
SRA Regulation 19 Personal liability active
● Certified
REACH LAW COLP Certification valid to 25 May 2027
100%
All AI-assisted file work governed today
3
Blocked events requiring COLP decision now
SRA
Active
UK GDPR
Active
MLR 2017
Active
ECCTA 2023
Active
ASA/CAP
Active
Consumer Duty
Review needed