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RACI Governance Template

Overview

This template provides a Responsible-Accountable-Consulted-Informed (RACI) matrix for AI agent governance tasks in financial services organizations. Customize roles and assignments based on your organizational structure.

RACI Legend

Code Meaning Description
R Responsible Does the work to complete the task
A Accountable Ultimately answerable for completion (only one per task)
C Consulted Provides input before decisions are made
I Informed Kept updated on progress and outcomes

Role Definitions

Adapt these roles to your organization's structure:

Role Typical Title(s) Responsibility
AI Gov Lead AI Governance Lead, AI Program Manager Day-to-day governance program management
Compliance Compliance Officer, CCO Regulatory compliance oversight
Risk Risk Manager, CRO Enterprise risk assessment
Security CISO, Security Architect Security controls and monitoring
Platform Power Platform Admin, M365 Admin Technical platform administration
Business Business Owner, Product Owner Business requirements and UAT
Legal General Counsel, Legal Counsel Legal review and contracts
Audit Internal Audit, External Audit Independent assurance
Exec Sponsor CIO, CDO, COO Executive oversight and funding

Agent Lifecycle RACI

Agent Creation and Deployment

Task AI Gov Lead Compliance Risk Security Platform Business Legal
Zone classification A C C C I R I
Business justification C I I I I A/R I
Data source approval C A C C R R I
Security assessment C I C A/R C I I
Bias testing (Zone 2-3) A C C I I R I
UAT sign-off I I I I I A/R I
Production approval (Zone 2) A C I C R R I
Production approval (Zone 3) R A C C R R C

Agent Operations

Task AI Gov Lead Compliance Risk Security Platform Business Legal
Performance monitoring A I I I R I I
Incident response C I C A/R R I C
Change management A C I C R R I
Access reviews C A I C R I I
Audit log review C A I C R I I
Compliance testing C A/R C I I I I

Agent Decommissioning

Task AI Gov Lead Compliance Risk Security Platform Business Legal
Decommission request I I I I I A/R I
Data retention verification C A I I R I C
Access removal I I I C A/R I I
Audit trail preservation C A I I R I I
Decommission sign-off A C I C R R I

Governance Program RACI

Policy and Standards

Task AI Gov Lead Compliance Risk Security Platform Legal Exec Sponsor
Governance framework updates A/R C C C C C I
DLP policy changes C C I C A/R I I
Zone criteria updates A C C C C I C
Connector policy updates C C I C A/R I I
Training program development A/R C I C C I I

Reviews and Assessments

Task AI Gov Lead Compliance Risk Security Platform Audit Exec Sponsor
Quarterly governance review A/R R C C R I I
Semi-annual governance review A/R R C C R C I
Annual governance assessment A/R R R R R C A
Model risk validation C C A/R C I C I
Regulatory examination prep R A C C R R I

Incident and Exception Management

Task AI Gov Lead Compliance Risk Security Platform Legal Exec Sponsor
Security incident escalation C I C A/R R C I
Policy exception request A C C C I I C
Policy exception approval R A C C I C C
Regulatory breach response C A C C I R I
Board/executive reporting R C C C I I A

Zone-Specific RACI Variations

Zone 1 (Personal Productivity)

Task AI Gov Lead Platform Business
Agent creation I I A/R
Self-service deployment I I A/R
Basic compliance check A I R

Zone 2 (Team Collaboration)

Task AI Gov Lead Compliance Platform Business Manager
Agent creation C I I R A
Deployment approval C I R R A
Quarterly review A C R I R

Zone 3 (Enterprise Managed)

Task AI Gov Lead Compliance Risk Security Platform Business Legal Exec Sponsor
Agent creation A C C C R R I I
Security assessment C I C A/R C I I I
Bias testing A C C I I R I I
Deployment approval R A C C R R C I
Monthly review A/R R C C R I I I
Incident response C I C A/R R I C I

Customization Guide

Step 1: Map Roles to Your Organization

Template Role Your Organization's Role Name/Team
AI Gov Lead
Compliance
Risk
Security
Platform
Business
Legal
Audit
Exec Sponsor

Step 2: Validate Assignments

  • Each task has exactly one "A" (Accountable)
  • "R" (Responsible) assigned to roles with capacity
  • "C" (Consulted) limited to essential input providers
  • "I" (Informed) includes all stakeholders needing awareness
  • No role is overloaded with responsibilities

Step 3: Document Exceptions

Task Standard RACI Your RACI Rationale

RACI Review Schedule

Review Type Frequency Participants
Role assignment validation Quarterly AI Gov Lead, HR
RACI matrix update Semi-annually All role owners
Full RACI refresh Annually Governance Committee

FSI Agent Governance Framework v1.2.51 - February 2026