ConvoAI AI Governance Control Plane

ConvoAI provides a governance control plane for financial document workflows designed for regulated environments. It focuses on preserving policy discipline and evidence quality through four primary control mechanisms:

1. Fail-Closed Controls: Implements denial-by-default behavior when policy context is missing or flows are restricted.
2. Policy-Gated Retrieval: Enforces structured retrieval boundaries using scoped authorization and projection enforcement.
3. Audit Evidence: Provides traceable events, retention controls, and evidence exports required for regulatory control reviews.
4. Identifier Safety: Uses SPII-aware sanitization patterns to prevent the leakage of sensitive identifiers across prompts, citations, and outputs.

RAG is a technology that eliminates AI hallucinations by grounding responses in specific user documents rather than relying solely on general training data. It follows a three-step process:

1. Retrieval: Searches a document database for the most relevant information based on the user's query.
2. Augmentation: Combines the retrieved facts with the AI's language understanding.
3. Generation: Produces an accurate answer with direct source citations (document name and page number).

Compared to generic AI, RAG provides higher accuracy (85-95%), real-time updates without retraining, and a verifiable audit trail for compliance.

ConvoAI's architecture is designed to support specific regulatory frameworks:

• HIPAA: Supports PHI governance via RBAC, complete audit trails of PHI access, and data sovereignty (PHI stays in the user's cloud). BAAs are available for Enterprise customers.
• GDPR: Supports data minimization (only governance metadata stored), rights management (access/erasure), and EU-region cloud adapters for data residency.
• SOC 2: Supports Trust Service Criteria through fail-closed enforcement, multi-cloud redundancy, and confidentiality via the zero-access model.
• NIST AI RMF: Provides built-in controls for Governing, Mapping, Measuring, and Managing AI risks.

ConvoAI's document processing pipeline handles various formats (PDF, Word, Excel, PowerPoint, HTML, Markdown, CSV) and includes:

• Advanced OCR: Automatic detection of scanned vs digital documents and handwritten text recognition.
• Entity Extraction: Automated recognition of 15+ entity types and relationship mapping.
• Smart Re-Ranking: Semantic relevance scoring and context-aware result ordering.
• Document Versioning: Point-in-time retrieval and full change history.
• Quality Assurance: Mandatory source citations (document + page) and confidence scoring for extractions.

ConvoAI provides a centralized control plane to enforce governance across different AI models and cloud providers (AWS Bedrock, GCP Vertex AI, and Azure OpenAI). This allows organizations to avoid vendor lock-in by applying the same set of rules regardless of the underlying infrastructure. Key governance capabilities include:

• Cost Controls: Enforcement of hard cost limits across all connected clouds.
• Security Policies: Unified security rules applied to all AI models.
• Unified Audit Trail: A single point of truth for all AI interactions across the organization.