Decision inputs
Facts that change the policy answer
Here the tool receives ledger extracts, control evidence and auditor request IDs, while someone ultimately relies on an evidence index and response draft. The policy must evaluate the whole path between them.
- 1Task and owner
- Financial controller wants to organise evidence for a financial audit. Responsibility for an evidence index and response draft stays with a named person or team throughout the request.
- 2Information involved
- Ledger extracts, control evidence and auditor request IDs. Look beyond pasted text: files, integrations and retrieval connections can expose the same material.
- 3Tool and account
- An approved company account. Treat a new plug-in or connector as a change to the approved setup.
- 4Intended result
- The expected result is an evidence index and response draft. The policy needs to know what happens after generation, including publication, communication and automated use.
- 5Consequence if it is wrong
- AI may expose financial records or imply evidence proves more than it does. A familiar task still needs escalation when this consequence becomes plausible.
- 6Human review
- control owner should inspect, change, reject or stop the result. Their role should include checking source facts, correcting errors and refusing the proposed use.
Possible policy routes
The task name alone cannot decide it.
A published workplace policy can return different answers for the same task. These are the practical branches worth encoding.
A routine policy route may be possible
A routine route is easier to justify when the exact account is approved, only the minimum confidential financial and audit information is used, an evidence index and response draft remains within the stated purpose, and control owner reviews it before use.
Approval may be required
Send the request for approval if the account or data handling is uncertain, ai may expose financial records or imply evidence proves more than it does, or an evidence index and response draft reaches people or systems beyond the requester’s authority.
The request may need to stop or change
The proposed use should pause if restricted information would enter an unapproved service, the output would act before control owner can intervene, or keep source, period, owner and request ID attached to each item cannot be maintained. Consider less information, a controlled account or a non-AI process.
Request checklist
Questions to ask before using the tool
- 01
Does the selected account retain or reuse anything supplied while trying to organise evidence for a financial audit?
- 02
Who is permitted to expose ledger extracts, control evidence and auditor request IDs to this tool and for this purpose?
- 03
Does an evidence index and response draft create an external statement, a decision or an automated action?
- 04
Can control owner inspect the complete result and its source before reliance?
- 05
Would another region, audience or frequency activate a different company rule?
Worked request
What the employee should submit
This example supplies decision facts without pasting the underlying material into the approval record.
- requester
- financial controller
- task
- Use AI to organise evidence for a financial audit.
- information
- ledger extracts, control evidence and auditor request IDs
- tool
- An approved company account
- frequency
- Recurring work
- region
- Where the work and affected people are located
- purpose
- Analyse
- impact
- Audit evidence
- review
- Complete human review
- owner
- control owner
Useful safeguards
Controls that fit this request
- ✓
Keep source, period, owner and request ID attached to each item
- ✓
Separate source material from the request record and expose only what the tool needs for an evidence index and response draft.
- ✓
Reassess the request whenever its tool, information classification, frequency or consequence changes.
- ✓
Link the completed check to the applicable policy version and append later reassessments separately.
Questions people ask
About this AI use
Is using AI to organise evidence for a financial audit automatically allowed?
The task name cannot settle the answer. Apply the company’s published rules to ledger extracts, control evidence and auditor request IDs, the exact account, an evidence index and response draft, its audience and the proposed review.
Which facts should be submitted before work begins?
Describe an evidence index and response draft, identify ledger extracts, control evidence and auditor request IDs, name the exact tool and account, explain who will receive or rely on the output, and state how control owner will review it.
What belongs in the completed policy record?
Link the completed check to the applicable policy version and append later reassessments separately. A classification and controlled reference may be enough when copying ledger extracts, control evidence and auditor request IDs would create unnecessary risk.