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Portal Walkthrough: Control 2.21 - AI Marketing Claims and Substantiation

Last Updated: January 2026 Portal: SharePoint, Microsoft Purview compliance portal Estimated Time: 2-3 hours initial setup

Prerequisites

  • SharePoint Admin or Site Owner permissions
  • Access to Microsoft Purview compliance portal
  • Compliance Officer approval for workflow design
  • Legal review of claim categories completed
  • Marketing team stakeholders identified

Step-by-Step Configuration

Step 1: Create AI Claims Inventory List in SharePoint

  1. Navigate to your Governance SharePoint site
  2. Create a new List named "AI Marketing Claims Inventory"
  3. Add the following columns:
Column Name Type Options/Format
Claim ID Auto-number AI-CLAIM-####
Claim Text Multiple lines Plain text
Claim Category Choice Performance, Capability, Comparative, Predictive, Efficiency
Agent/Product Single line Text
Target Channel Choice Website, Email, Social Media, Sales Collateral, Press Release
Substantiation File Hyperlink Link to evidence document
Status Choice Draft, Under Review, Approved, Rejected, Retired
Submitted By Person
Submission Date Date
Compliance Reviewer Person
Review Date Date
Approval Date Date
Next Review Date Date Auto-calculate: Approval Date + 90 days
Comments Multiple lines

Step 2: Create Substantiation Evidence Library

  1. In the same SharePoint site, create a Document Library: "AI Claims Substantiation"
  2. Create folders for each claim category:
  3. Performance Claims
  4. Capability Claims
  5. Comparative Claims
  6. Predictive Claims
  7. Efficiency Claims
  8. Set retention: 7 years (FINRA 4511 alignment)
  9. Configure versioning: Major versions only, require check-out

Step 3: Configure Pre-Publication Review Workflow

Using Power Automate, create an approval workflow:

Trigger: When an item is created in "AI Marketing Claims Inventory"

Flow Steps:

  1. Notify Submitter: Send confirmation email
  2. Initial Review: Start approval with Compliance Officer
  3. If Rejected: Update status, notify submitter, end flow
  4. If Approved: Continue to Step 3
  5. Technical Review: Start approval with AI Governance Lead
  6. If Rejected: Update status, notify submitter, end flow
  7. If Approved: Continue to Step 4
  8. Legal Review (Zone 3 only): If Zone = 3, start approval with Legal
  9. If Rejected: Update status, notify submitter, end flow
  10. If Approved: Continue to Step 5
  11. Final Approval: Update status to "Approved", set Approval Date and Next Review Date
  12. Notification: Send approval confirmation to submitter and reviewers

Step 4: Set Up Quarterly Review Reminder

Create a scheduled Power Automate flow:

Trigger: Recurrence - Weekly on Mondays

Flow Steps:

  1. Get items from AI Marketing Claims Inventory where:
  2. Status = "Approved"
  3. Next Review Date <= Today + 14 days
  4. For each item:
  5. Send reminder email to Compliance Reviewer
  6. Include claim text, original approval date, substantiation file link

Step 5: Configure Purview Compliance Portal Integration

  1. Navigate to Microsoft Purview compliance portal
  2. Under Information governance > Labels, create retention label:
  3. Name: "AI Marketing Claim - 7 Year Retention"
  4. Retention period: 7 years from creation
  5. Apply to: AI Claims Substantiation library

Configuration by Governance Level

Setting Baseline (Zone 1) Recommended (Zone 2) Regulated (Zone 3)
Claims Inventory Not required Recommended Required
Pre-Publication Review Not required Compliance review Full review (Compliance + Legal)
Substantiation File Not required Recommended Mandatory
Quarterly Review Not required Optional Mandatory
Retention N/A 3 years 7 years

FSI Example Configuration

Organization: Regional Investment Advisory Firm
Claims Inventory Site: https://contoso.sharepoint.com/sites/AIGovernance

Active Claims:
  - Claim ID: AI-CLAIM-0001
    Text: "Our AI-powered portfolio analysis reviews 10,000+ securities daily"
    Category: Capability
    Status: Approved
    Substantiation: Link to technical documentation + usage logs
    Next Review: April 15, 2026

  - Claim ID: AI-CLAIM-0002
    Text: "AI assistant reduces client onboarding time by 60%"
    Category: Efficiency
    Status: Approved
    Substantiation: Link to benchmark study (n=500 onboardings)
    Next Review: May 1, 2026

Review Workflow:
  Zone 3 Claims: Marketing → Compliance → AI Governance → Legal → Publication
  Zone 2 Claims: Marketing → Compliance → Publication

Validation

After completing these steps, verify:

  • AI Marketing Claims Inventory list created with all required columns
  • Substantiation Evidence library created with folder structure
  • Pre-publication approval workflow triggers on new item creation
  • Quarterly review reminders are being sent
  • Retention label applied to substantiation library
  • Test claim submission completes full workflow

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