SDLC · Azure AI Foundry · ISO-42001 · NIST AI RMF

Advisory AI Governance Platform

An AI-powered compliance platform that automatically scans engineering repositories, scores code against 10 regulatory frameworks, and generates audit-ready artifacts — embedding AI governance directly into the software development lifecycle.

10
Frameworks Supported
7
Scanning Domains
9
AI-Generated Artifact Types
5
Compliance Gate Stages
Repos — Any Language
100%
Audit Trail in Cosmos DB

AI governance is bolted on after the fact — and it shows

As AI regulation accelerates — NIST AI RMF, ISO/IEC 42001, the EU AI Act, HIPAA AI guidance — engineering teams face a compliance gap that grows with every sprint. The standard response is to hire consultants who produce binders of documentation that are obsolete before the ink dries.

🔍

No Visibility Into Code-Level Risk

Engineering managers have no automated way to know whether a repo deploying an AI model contains human oversight controls, PII handling protections, or audit logging — until a compliance audit exposes the gap.

📄

Artifacts Written by Hand, Months Too Late

Model Cards, DPIAs, Risk Assessments, and Ethics Charters are typically created by policy teams after a model is already in production. They rarely reflect actual implementation and are produced once — never updated.

🚦

No Gate Enforcement in the SDLC

Governance reviews happen at the end of the project, not throughout it. There's no mechanism to enforce that a model cannot be promoted to staging without a completed Fairness Audit or Risk Assessment sign-off.

🗂️

Framework Fragmentation

Different stakeholders speak different languages: legal speaks EU AI Act, security speaks NIST, QA speaks ISO 42001, finance speaks SOC2. No single tool maps a codebase's compliance posture across all of them simultaneously.

🔄

Stale Compliance Evidence

A risk assessment filed at project kickoff doesn't reflect the model architecture that shipped six months later. Compliance evidence ages out but stays in the binder, creating false confidence for auditors and regulators.

💸

Compliance as Pure Cost Center

Without automation, AI governance is pure overhead — analyst hours, legal reviews, documentation sprints. The cost scales linearly with portfolio size, making governance prohibitive for smaller AI teams.


Governance embedded in the SDLC — automated, continuous, auditable

The Advisory AI Governance Platform runs as an Azure-native application: a Python Function App backed by Cosmos DB and Blob Storage, powered by Claude via Azure AI Foundry. It exposes three capabilities — automated code scanning, AI artifact generation, and gate-based compliance workflows — via a REST API and a static web dashboard.

System Architecture — Azure-Native Deployment
CLIENT
governance-v3.html
AI Governance dashboard · Scan results · Gate workflow · Artifacts
agent.html / agent-rxt.html
PE Intelligence chat · Seller Diligence chat · Claude tool use
aiops.html
AIOps Command Center · Real-time tool call streaming
↕ HTTPS
COMPUTE
func-advisory-{env}
Azure Functions · Python 3.11
/api/v1/governance/scan/github
/api/v1/governance/artifacts/{type}
/api/v1/governance/gates · /api/v1/chat
code_scanner.py
GitHub API fetch · Multi-language regex patterns · Domain scoring (0–100) · Framework mapping
governance_routes.py
AIMS management · Project CRUD · Artifact generation via Claude · Gate approval workflow · Audit trail write
DATA + AI
Azure AI Foundry
Claude Sonnet 4.5 · Artifact generation · Chat with tool use · Streaming responses
Cosmos DB (NoSQL)
governance-projects · governance-artifacts
governance-frameworks · governance-patterns
governance-audit · cache (TTL 300s–3600s)
Blob Storage
Static dashboard ($web) · Generated documents (SAS URLs, 365-day expiry) · Governance artifacts
GitHub API
Repo tree fetch · File contents (base64) · Private repo support via GITHUB_TOKEN

The code scanner evaluates every file in a repository against pattern libraries across 7 domains. Patterns are stored in Cosmos DB and loaded dynamically — new rules can be added without redeployment.

📋

Policies

Policy references, POL-ID annotations, compliance_policy declarations. Checks for missing policy coverage on AI training and deployment functions.

⚖️

Governance & Ethics

Human oversight controls (requires_review, human_review), bias detection hooks, explainability implementations, fairness constraints.

🔒

Compliance & Audit

Audit logging patterns, compliance decorators, regulatory reporting hooks, change management annotations, version control for models.

🛡️

Data Privacy

PII handling patterns, data anonymization, consent management, data retention enforcement, encryption-at-rest signals, GDPR/HIPAA compliance markers.

⚠️

Risk Assessment

Risk scoring implementations, threat modeling annotations, adversarial robustness tests, fallback and circuit-breaker patterns for AI model calls.

📝

Model Documentation

Model card generation hooks, training data lineage annotations, performance benchmark documentation, known limitations declarations, version metadata.

📊

Monitoring

Model drift detection, data quality monitoring, performance tracking, alert implementations, telemetry hooks, SLA enforcement patterns.

A single scan produces a compliance score per domain per framework. Engineering leads see their NIST posture; legal sees their ISO 42001 posture; security sees their XDR posture — from the same scan run.

NIST AI RMF
ISO/IEC 42001
EU AI Act
HIPAA (AI)
GDPR
SOC 2
FinOps
ModelOps
AIOps
XDR
governance-scan · src/model_pipeline.py · NIST AI RMF · ISO/IEC 42001
12def deploy_model(model, config):
13 predictions = model.predict(X_test)
MEDIUM Domain: Governance & Ethics · No human_review gate before deployment · NIST: GOVERN-2.2 · ISO: 6.1.2 · Recommendation: Add requires_human_review=True or approval gate before model.deploy()
24 # Policy: POL-ML-003 · Approved: 2026-01-15
PASS Domain: Policies · Policy reference found · NIST: GOVERN-1.1 · ISO: 5.2
38 log_prediction(user_id, input_data, output)
PASS Domain: Compliance & Audit · Audit logging detected · NIST: MANAGE-4.1 · SOC2: CC7.2
51 pii_data = user_profile["ssn"]
HIGH Domain: Data Privacy · Unmasked PII field access (ssn) without anonymization wrapper · GDPR: Art.25 · HIPAA: 164.514 · ISO: 8.4 · Recommendation: Use anonymize_pii() or remove PII from model input
Overall Score 71%
NIST AI RMF 68%
ISO 42001 74%
2 HIGH  3 MEDIUM  8 PASS

Each project progresses through five gates. The API enforces that no gate can be approved until its required artifacts are generated and its compliance score meets the configured threshold. Gate approvals are immutably logged to the Cosmos DB audit trail.

Gate 0
AIMS Charter
AI Management System charter approved. Scope, objectives, boundaries defined.
Gate 1
Risk Assessment
AI-generated risk assessment reviewed. Initial scan score ≥ threshold.
Gate 2
Model Card + DPIA
Model Card and Data Privacy Impact Assessment generated and signed off.
Gate 3
Fairness Audit
Fairness Audit and Ethics Charter completed. Human oversight controls verified in code.
Gate 4
✓ Production Cleared
All gates passed. Monitoring KPIs active. Full audit trail in Cosmos DB.

Each artifact is generated by Claude via Azure AI Foundry, seeded with project-specific context from Cosmos DB (scan results, risk findings, project metadata), and stored in Blob Storage with a 365-day SAS URL for auditor access.

🃏

Model Card

Intended use, training data lineage, performance benchmarks, limitations, known failure modes.

NIST · ISO · EU AI Act
🔒

DPIA

Data Protection Impact Assessment covering PII flows, retention, third-party sharing, data subject rights.

GDPR · HIPAA · ISO 42001
⚠️

Risk Assessment

Structured risk register with severity, likelihood, mitigations, and residual risk per NIST MAP pillars.

NIST MAP · ISO 6.1
⚖️

Fairness Audit

Bias surface analysis, protected attributes, disparate impact testing plan, fairness metric targets.

EU AI Act · NIST MEASURE
🧭

Ethics Charter

Stakeholder accountability matrix, ethical red lines, escalation paths, transparency commitments.

NIST GOVERN · ISO 5.2
👤

HITL SOP

Human-in-the-loop Standard Operating Procedure: when to escalate, who reviews, decision authority matrix.

NIST GOVERN-2 · ISO 6.1
📜

Policy Template

Customizable AI use policy with prohibited use cases, acceptable use bounds, compliance attestation.

NIST GOVERN-1 · ISO 5.2
📈

Monitoring KPIs

Framework-aligned KPI definitions with thresholds, measurement frequency, alerting rules, owner assignments.

NIST MANAGE-4 · ModelOps
🗺️

Regulatory Mapping

Cross-framework traceability matrix showing how each control satisfies multiple regulatory requirements simultaneously.

All 10 frameworks
The entire platform is defined in modular Bicep: compute.bicep (Function App + App Service Plan), data.bicep (Cosmos DB + containers), storage.bicep (static site + blob containers), monitoring.bicep (Application Insights + Log Analytics). Three environment configs (dev.bicepparam, staging.bicepparam, prod.bicepparam) switch between:

Dev/Staging: Consumption Plan, serverless Cosmos, LRS storage
Prod: Premium EP1, provisioned Cosmos (4,000 RU/s), GRS storage

make deploy-all runs the complete pipeline: infra → functions → web → seed. The Makefile enforces ordering and provides a blast-radius audit target (make audit) that inventories every resource the deployment touches before any changes are applied.
The Function App uses DefaultAzureCredential from azure-identity throughout. In production, the app's system-assigned managed identity is granted:

Cosmos DB: Cosmos DB Built-in Data Contributor role
Blob Storage: Storage Blob Data Contributor role
Key Vault: Key Vault Secrets User role (for API keys)
Azure AI Foundry: Azure AI Developer role

The get_cosmos_client() function gracefully falls back from connection string to managed identity — enabling local development with connection strings while prod uses zero-secret managed identity. No secrets touch environment variables in production.
The chat and AIOps endpoints use Claude's tool use feature. As Claude makes tool calls (fetching news, querying stocks, running governance scans), events are written to an in-memory _progress_store keyed by a request UUID sent by the frontend.

The frontend polls /api/v1/chat/progress/{request_id} at 500ms intervals, receiving a stream of tool call events to render live "Claude is calling NewsAPI..." status updates in the UI. Events are pruned after 10 minutes via a TTL check.

This pattern works on Consumption plan instances (best-effort) and upgrades cleanly to Redis on Premium — the interface doesn't change.
Governance scan patterns are seeded into the governance-patterns Cosmos container at deployment time from scripts/seed/patterns.py. At runtime, GovernanceCodeScanner loads them from Cosmos DB on each scan request.

This means a compliance officer can add a new pattern (e.g., a new EU AI Act Article 13 transparency marker) by upserting a document to Cosmos DB — no code change, no redeployment. The fallback to FALLBACK_PATTERNS ensures the scanner remains operational even if Cosmos DB is temporarily unavailable.

Patterns carry multi-framework mappings: a single finding can be tagged with nist_mapping: "GOVERN-1.1", iso_mapping: "5.2", and fw_mappings: {"eu_ai_act": "Art.9.1"} simultaneously.

AI that governs AI — and is itself governed

The platform uses Claude to generate compliance artifacts — which raises an immediate question: who governs the AI that's doing the governing? The answer is a set of structural safeguards that prevent the AI layer from being the sole authority on any compliance decision.

Deterministic Scanner, AI Narrator

The compliance score is computed by a deterministic Python regex scanner — not an LLM. Claude generates the artifact prose and recommendations, but the score that determines whether a gate passes or fails is computed code, not model output. The same division used in the migration analysis platform's provisioning engine applies here.

Deterministic scoring AI prose only Score ≠ LLM output

Immutable Audit Trail

Every gate submission, approval, artifact generation, and scan is written to the governance-audit Cosmos container with a timestamp, actor, event type, and artifact reference. Audit records are append-only — there is no delete path in the governance routes. Regulators get a complete chain of custody.

Cosmos DB append-only Timestamped events Actor attribution

Human Gate Approval Required

The platform generates artifacts and computes scores, but it cannot approve its own gates. Every gate in the SDLC workflow requires a named human approver via POST /api/v1/governance/gates/{id}/approve. The AI surfaces the evidence; humans make the compliance decision.

Human-in-the-loop Named approver required AI cannot self-approve

Framework Traceability — Every Finding Cited

Every scan finding carries explicit framework citations: nist_mapping, iso_mapping, pillar_mapping, and a fw_mappings dict for all applicable frameworks. There is no finding without a citation. Auditors can trace any finding directly to the specific article, function, or control it maps to.

Explicit citations Multi-framework mapping No uncited findings
🏛️ GOVERN
Policies, accountability structures, workforce culture, organizational commitments. KPI: Policy Documentation Rate >95%
🗺️ MAP
Context establishment, AI system categorization, capabilities mapping, risk and benefit identification including third-party components.
📊 MEASURE
Trustworthy characteristics evaluation, risk tracking mechanisms, feedback collection. KPI: Fairness Audit Pass Rate >95%
⚙️ MANAGE
Risk prioritization and treatment, third-party risk management, continuous monitoring. KPI: Incident Response Time <4 hours

What continuous AI governance unlocks

The platform shifts governance from a project-end activity to a continuous SDLC signal. The downstream effects are significant: faster audits, earlier risk detection, and compliance posture that is always current — not a snapshot from last quarter's consultant engagement.

Before — Manual Compliance Review
Time to first compliance signalWeeks → months
Artifact freshnessPoint-in-time, stale immediately
Framework coverage1–2 frameworks per engagement
Code-level visibilityNone — policy vs. implementation gap
Gate enforcementManual checklist, easily skipped
Audit trailEmail threads, shared drives
Cost per portfolio review$50K – $200K consulting
After — Advisory AI Governance Platform
Time to first compliance signal< 60 seconds per repo
Artifact freshnessRegenerated on every scan run
Framework coverage10 frameworks simultaneously
Code-level visibilityPattern-matched to the line number
Gate enforcementAPI-enforced, cannot be bypassed
Audit trailImmutable Cosmos DB audit log
Marginal cost per scanPennies (LLM + Cosmos I/O)
10×
Frameworks From One Scan
NIST, ISO 42001, EU AI Act, HIPAA, GDPR, SOC2, FinOps, ModelOps, AIOps, XDR — all scored from a single GitHub repo scan.
<60s
Time to Compliance Signal
From repo URL to scored findings with line-level citations in under a minute. Runs in CI/CD on every PR if wired to GitHub Actions.
9
Artifact Types, Always Current
Model Cards, DPIAs, Risk Assessments, Fairness Audits, Ethics Charters — regenerated on demand, always reflecting the current codebase state.
0
Gate Bypass Paths
The compliance gate API enforces artifact completion before stage progression. There is no admin override path — by design. Human approval is the only unlock.

Built for an advisory services context, the platform addresses the specific challenge of governing a portfolio of AI models developed across multiple client engagements and internal teams — each with different risk profiles, regulatory environments, and technology stacks. The multi-tenant design (all operations scoped by tenantId) allows a single deployment to serve multiple business units or clients with full data isolation. The AIOps Command Center and PE Intelligence chat surfaces provide executives and account teams with real-time governance posture visibility without requiring technical access to underlying scan data.

Full-Stack AI Governance

From GitHub repo scan to production gate approval — every step documented, every finding cited, every artifact AI-generated and auditor-ready. Built on Azure AI Foundry with Claude Sonnet 4.5.

Azure Functions · Cosmos DB · Blob Storage · Azure AI Foundry · Bicep IaC · Python 3.11