AI Governance software
AI adoption moves quickly. Governance often remains trapped in policies, spreadsheets and disconnected reviews. Captain Compliance gives privacy, legal, compliance, security and AI teams one operational system for inventorying AI, assessing risk, managing approvals, assigning controls, reviewing vendors, monitoring changes and maintaining evidence.
Turn AI policy into persistent guardrails connected to every governed system, model, agent and use case — the AI your organization builds, buys and permits employees to use.
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Central AI inventoryRisk and impact assessmentsPolicy-based guardrailsApproval workflowsVendor and agent governanceContinuing evidence
| AI system | Type | Risk | Status |
|---|---|---|---|
| Customer Support Assistant | Generative AI | Elevated | Conditionally approved |
| Recruiting Screening Tool | Automated decision system | High | Under review |
| Internal Coding Assistant | Employee AI tool | Standard | Approved |
| Claims Analysis Agent | AI agent | High | Controls required |
AI moves faster than manual governance
A policy cannot govern an AI system by itself.
Organizations adopt AI through product teams, vendors, employees, procurement, marketing, customer service, healthcare operations, financial decisions and autonomous agents. A written policy may establish valuable principles, but it does not identify every use case, determine what data is involved, route higher-risk systems to the right reviewers, assign required controls or document whether those controls stayed in place.
Unknown AI
Teams and employees may adopt AI before privacy, legal, security or risk leaders know it exists.
Disconnected reviews
Privacy, security, legal, procurement and technical reviews may occur in different systems without a common approval record.
Unassigned guardrails
A required control provides little protection when no owner, evidence requirement, deadline or escalation path is attached to it.
Outdated assessments
An assessment completed before launch may no longer reflect a changed model, dataset, vendor, purpose, integration, permission or jurisdiction.
One system for the AI lifecycle
From first proposal to final retirement.
A central system of record for the AI an organization builds, buys and uses. Each governed system connects to its purpose, owner, data, risk level, assessments, approvals, guardrails, vendors, incidents, evidence and review history.
AI Inventory
Maintain a structured registry of AI systems, models, agents, vendors and use cases.
AI Intake
Give employees, product teams, procurement and business units a consistent way to submit proposed AI uses.
Risk Classification
Apply configurable criteria to identify which systems require additional privacy, legal, security, technical or executive review.
Impact Assessments
Run the appropriate privacy, AI, data-protection, vendor and risk assessments based on the use case.
Approval Workflows
Route each system through the applicable reviewers, remediation and decision gates.
Governance Guardrails
Attach permitted uses, data restrictions, human oversight, testing, access and documentation requirements.
Control Ownership
Assign accountable owners, due dates, evidence requirements and escalation paths.
AI Vendor Governance
Review third-party AI providers, data practices, limitations, documentation and material changes.
Agent Governance
Document agent tools, permissions, connected systems, permitted actions and human-approval checkpoints.
Exceptions and Remediation
Track approved exceptions, compensating controls, expiration dates and corrective actions.
Incidents and Complaints
Maintain AI incident, impact, investigation, escalation and remediation records.
Monitoring and Reassessment
Trigger reviews after material changes, control failures, incidents, expired approvals or changing requirements.
Policies and Evidence
Maintain policies, assessments, decisions, attestations, reports and versioned governance history.
Reporting
Provide operational, executive, board, customer, auditor and regulator-facing reports.
Know what AI exists
Govern AI you build, buy and use.
AI You Build
Govern internally developed models, AI-enabled products, automated decisions, custom applications and agents throughout their lifecycle.
AI-enabled productsModels and algorithmsAutomated decisionsRAG applicationsCustomer-facing assistantsInternal agentsModel and application updates
AI You Buy
Evaluate dedicated AI vendors and AI capabilities embedded within software the organization already purchases.
SaaS applicationsFoundation-model providersAI APIsRecruiting technologyMarketing platformsAnalytics productsCustomer-service tools
AI Employees Use
Establish permitted uses, restrictions and oversight for productivity tools and department-level AI adoption.
Public generative AICoding assistantsResearch toolsContent systemsMeeting assistantsBrowser extensionsDepartment applications
A complete AI system record
Connect every system with its context, controls and history.
Depending on the organization and configured product fields, an AI record may include:
AI system or use-case nameBusiness purposeResponsible ownerBusiness unitProviderModelDevelopment or procurement statusDeployment statusIntended usersAffected individualsData categoriesPersonal or sensitive informationTraining, input and output dataDecision typeLevel of autonomyHuman oversightIntegrationsAgent tools and permissionsApplicable jurisdictionsRisk levelRequired assessmentsRequired guardrailsApproval statusVendor documentationSupporting evidenceReview dateExpiration dateExceptionsIncidentsMaterial changesRetirement status
From intake to oversight
A repeatable governance workflow for every AI use case.
// Automated triage and workflow recommendations support human review. They do not issue final legal conclusions or replace appropriate organizational decision-makers.
Policy into operation
Make every approval conditional, assigned and reviewable.
An AI approval should not reduce to a one-time yes or no. A system may be approved only for a particular purpose, dataset, population, region, vendor, model version or level of autonomy. Those conditions attach to the system and persist through its lifecycle.
Policy requirement → Applicable AI system → Required guardrail → Assigned owner → Evidence and due date → Approval status → Monitoring and reassessment
Answer standard customer-service questions
- ·Use only the approved model and vendor
- ·Restrict access to approved knowledge sources
- ·Do not use customer conversations for training unless separately approved
- ·Escalate specified topics to a human representative
- ·Display applicable AI transparency language
- ·Test material system changes before deployment
- ·Maintain an incident escalation procedure
- ·Reassess after a model or data-source change
// These controls are illustrative. They are not universally required and are not legal advice.
Connected controls, clear responsibilities
Governance guardrails and technical guardrails work together.
Governance guardrails
Approved purposesRequired reviewsData-use restrictionsHuman oversightAssigned control ownersTesting obligationsDocumentation requirementsExceptionsReassessment triggersIncident escalation
Technical runtime controls
Model and application permissionsAuthentication and accessAI gatewaysContent filtersLoggingModel testingTool restrictionsAgent approval checkpointsSecurity monitoringInfrastructure controls
// Captain Compliance records, assigns, monitors and documents governance requirements. Technical enforcement depends on the controls and supported integrations implemented within the relevant models, applications, identity systems, security tools and infrastructure. The platform does not intercept every prompt, block every output or control every agent action.
The right assessment for the right AI
Assessment depth should match the potential impact.
An internal writing assistant should not follow the same review path as a system influencing employment, healthcare, insurance, credit, education or access to essential services. Configurable assessment workflows evaluate relevant areas:
PrivacyData protectionBias and discriminationAccuracyExplainabilityHuman oversightSecurityMisuseIntellectual propertyConsumer protectionChildren and vulnerable individualsEmploymentHealthcareFinancial and insurance decisionsVendor riskAgent permissionsOperational resilience
Third-party AI is still your responsibility
Review more than the vendor’s demonstration.
Many organizations buy more AI than they build, and AI is often added quietly to software already in use. Vendor review is organized around:
Intended useModelsSubprocessorsCustomer-data useModel-training practicesRetention and deletionSecurityAccess controlsData residencyOutput ownershipIP termsTestingLimitationsTransparencyHuman oversightIncident notificationMaterial changesContractual restrictionsRegulatory documentationReassessment schedules
// Completing a vendor questionnaire does not independently verify every vendor representation.
Govern AI that can take action
Agents require permissions, boundaries and accountability.
Agents may retrieve information, call tools, communicate with external systems, initiate workflows or act without a new human instruction at every step. The platform documents and governs:
Agent ownerBusiness purposeAvailable toolsConnected systemsData accessUser permissionsPermitted actionsProhibited actionsHuman-approval checkpointsEscalation conditionsTesting requirementsLogging requirementsFailure scenariosIncident proceduresMaterial changesReassessment requirements
// The platform does not automatically block or reverse every agent action.
AI Governance meets privacy operations
Govern the AI and the permissions attached to its data.
An AI assessment may reveal that a system uses customer data, employee information, sensitive information, behavioral data or recorded conversations. That finding should connect with the organization’s actual privacy controls.
Universal Consent
Records relevant individual consent, opt-outs and preferences.
AI Governance
Determines how the AI system is approved, controlled and overseen.
Assessments
Evaluates the privacy, AI, vendor and data-protection risks associated with the use.
Consent ManagementPreference CenterPrivacy noticesDSAR PortalRetention and deletionVendor governanceIncident responseEvidence and reporting
// Consent is not always the required or appropriate legal basis for AI processing. AI Governance documents the applicable decision without treating consent as a universal solution.
One program, multiple requirements
Map governance work across laws, standards and internal policies.
Captain Compliance helps organize common governance activities and connect available evidence with applicable frameworks.
EU AI ActNIST AI Risk Management FrameworkNIST Generative AI ProfileISO/IEC 42001GDPRUS state privacy lawsUS AI and automated-decision requirementsIndustry-specific requirementsInternal policiesCustomer requirementsContractual requirements
// Frameworks do not impose identical requirements. The software does not guarantee compliance, provide certification, act as a regulator or make final legal classifications, and one assessment does not satisfy every applicable law. Applicability depends on the organization’s role, system, intended use, affected individuals, jurisdiction and other facts requiring appropriate legal and technical analysis.
Governance after approval
Keep the guardrails attached as AI changes.
Runtime monitoring and continuing oversight trigger a fresh review when something material shifts:
New modelNew model versionNew business purposeNew datasetNew sensitive-data useNew integrationIncreased autonomyAdditional agent toolsExpanded permissionsNew affected populationNew jurisdictionVendor changeContractual changeControl failureIncidentComplaintMaterial performance changeExpired approvalChanged organizational requirementChanged regulatory requirement
When AI behaves differently than expected
Connect incidents with systems, owners and corrective action.
Authorized teams document the affected system, date and source, reported impact, affected individuals, responsible owner, severity, investigation, related controls, vendor involvement, containment, corrective actions, required notifications, follow-up assessment, approval consequences and closure evidence. Exceptions capture the request, business justification, reviewing authority, compensating controls, approval conditions, expiration date and required reassessment.
// The software does not determine whether regulatory notification is legally required.
Be ready to show your work
Maintain evidence from proposal through retirement.
Intake recordsRisk classificationsAssessmentsReviewer commentsApproval decisionsRequired guardrailsAssigned ownersSupporting evidenceVendor documentationExceptionsAttestationsIncidentsCorrective actionsReassessment historyPolicy versionsMaterial changesRetirement decisions
// Evidence is not automatically admissible, legally conclusive or guaranteed to satisfy a regulator, customer, court or auditor.
Software at the center
Operate AI Governance through one system.
Captain Compliance is a software platform for AI intake, inventory, assessments, approvals, guardrails, vendors, incidents, monitoring and evidence. Defined implementation and technical support may include:
Initial platform configurationWorkflow configurationAssessment configurationPolicy and control mappingTechnical integrationsUser and role setupInventory migrationReporting configurationTrainingForward-deployable engineeringDefined support allocationPeriodic platform reviews
// This is a defined scope, not unlimited consulting, a named full-time consultant, an outsourced legal department, open-ended program development, unlimited custom integrations or unlimited policy drafting. The customer retains authority over its AI decisions.
Built for higher-stakes AI
Adapt governance to the decisions AI is helping make.
SaaS and Technology
Govern AI-enabled products, development tools, customer data, model vendors, agents and product changes.
Healthcare
Review AI involving patient information, clinical support, communications and operational healthcare workflows.
Financial Services and Insurance
Document governance around underwriting, pricing, fraud, claims, credit, customer service and consequential decisions.
Employment and Workforce
Review recruiting, screening, evaluation, productivity, scheduling, monitoring and other systems affecting workers or applicants.
// Captain Compliance does not make healthcare, financial, insurance, employment or legal decisions for the customer.
The technical privacy stack
Capabilities across the AI lifecycle.
AI InventoryAutomated AI DiscoveryAgent DiscoveryUse-Case IntakeRisk ClassificationAutomated Risk ScoringAI Impact AssessmentsAssessment TemplatesApproval WorkflowsGovernance GuardrailsControl OwnershipEvidence UploadsAutomated RemindersReassessment TriggersVendor GovernanceVendor PortalAgent GovernanceModel TestingBias TestingRuntime MonitoringExceptions and RemediationIncidents and ComplaintsComplaint ManagementMonitoring and ReassessmentRegulatory MappingPolicies and EvidenceAudit HistoryExecutive ReportingAPIs and WebhooksSSO and SCIMRole-Based AccessOn-Premises DeploymentData Residency
Questions teams ask
AI Governance, answered plainly.
What is AI Governance software?
AI Governance software provides a structured system for inventorying AI, conducting assessments, managing approvals, assigning controls, reviewing vendors, tracking incidents and maintaining evidence.
What types of AI can Captain Compliance govern?
The platform is designed to govern internally developed AI, third-party AI, traditional machine learning, generative AI, embedded AI, automated decisions and AI agents.
What are AI Governance guardrails?
Guardrails are the policies, conditions, controls and oversight requirements governing how an AI system may be developed or used.
Does Captain Compliance technically enforce every guardrail?
No. Captain Compliance manages governance requirements, assignments, approvals, evidence and oversight. Technical runtime enforcement depends on the relevant model, application, infrastructure and integrations.
Can the platform discover shadow AI automatically?
Yes. Automated AI discovery and agent discovery identify AI systems and agents operating across supported environments, working alongside structured inventories, intake forms and employee disclosures so the registry reflects what is actually in use rather than only what was declared.
Does every AI system require the same assessment?
No. Assessment depth should reflect the system’s purpose, data, autonomy, affected individuals, jurisdiction and potential impact.
Does Captain Compliance support AI vendor reviews?
Yes. The platform can support structured reviews of AI vendors, their documentation, controls, limitations, data practices and material changes.
Can Captain Compliance govern employee AI use?
Yes. Organizations can register approved tools and use cases, establish acceptable-use conditions and route exceptions for review.
Can Captain Compliance govern AI agents?
The platform can document agent purposes, owners, tools, permissions, data access, human-review checkpoints, testing and incidents. Runtime control depends on supported integrations.
How does AI Governance connect with Universal Consent?
Universal Consent records relevant individual choices and permissions. AI Governance documents how the organization approves and oversees AI systems using applicable information.
How does AI Governance connect with Assessments?
Assessments evaluate the privacy, AI, vendor and data-protection risks associated with a system. AI Governance routes, tracks and maintains those assessments within the system’s lifecycle.
Does Captain Compliance support the EU AI Act?
Captain Compliance can help organize inventories, assessments, controls and evidence relevant to the EU AI Act. Applicability and legal conclusions depend on the organization and system.
Does Captain Compliance support NIST AI RMF and ISO/IEC 42001?
The platform can help map governance activities and evidence to these frameworks. Use of the platform does not establish certification.
Does Captain Compliance certify that an AI system is safe or compliant?
No. The platform supports governance and documentation. It does not certify that a system is lawful, accurate, unbiased, secure or compliant.
Can Captain Compliance implement the platform?
Yes. Defined implementation, configuration and technical support are available based on the applicable solution scope.
Enterprise deployment
Built for the access, hosting and integration requirements enterprises actually have.
AI Governance runs inside your identity, security and infrastructure requirements rather than beside them.
Identity and access
SSO and SAML, SCIM provisioning, role-based access controls and complete audit history across every governance action.
Deployment and residency
Standard cloud, private cloud, dedicated cloud and on-premises deployment, with data-residency options and custom retention.
APIs and webhooks
Connect inventory, intake, assessments, approvals, controls and incidents with internal systems, ticketing and data platforms.
Discovery
Automated AI discovery and agent discovery surface systems and agents operating across supported environments, so the inventory reflects real use.
Testing
Model testing and bias testing feed results back into the assessment and approval record for the relevant system.
Runtime monitoring
Monitor governed systems for material change, control failure and behavior requiring review, connected to reassessment triggers.
SSOSAMLSCIMRole-based accessAudit historyAPIsWebhooksPrivate cloudDedicated cloudOn-premisesData residencyCustom retentionVendor portalAutomated reminders
// Runtime monitoring and discovery operate across supported environments and integrations. Captain Compliance does not intercept every prompt, block every output or control every agent action.
Put AI Governance into operation
Keep innovation moving without losing control.
Create a central inventory. Assess the right risks. Establish approval gates. Assign persistent guardrails. Review vendors and agents. Monitor material changes. Maintain the evidence showing how every AI system was governed.
Book an AI Governance DemoAI Governance Audit
Captain Compliance provides AI Governance and privacy technology, implementation, monitoring, documentation and technical support. It does not provide legal advice, certification or independent assurance. The platform does not guarantee that an AI system is lawful, safe, accurate, unbiased, secure or compliant. Organizations should use appropriate legal, technical, security, risk and subject-matter professionals when evaluating their systems and obligations.