Framework

Sample deliverables

Redacted examples of how findings, evidence, and diagrams are packaged for stakeholder review. Figures represent typical enterprise control patterns, not a live engagement. Additional diagram sets below cover RAG and agentic patterns, plus extended developer-tooling context.

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Sample deliverable 1

Illustrative outputs from a structured review

Redacted examples showing how findings, evidence, and diagrams are packaged for stakeholder review. The findings register uses the Rapid Readiness layout (ID, Category, Description, Severity, Status, with Finding, Evidence Collected, and Remediation Action on expand). Figures represent typical enterprise control patterns, not a live engagement.

Illustrative findings only. Identifiers and customer-specific detail removed.

Critical and high findings: post-review state

ID	Category	Description	Severity	Status
RAG-001	Access control	Access control: Retrieval index ACLs do not enforce user data classification when building query filters.	critical	Open	▸
RAG-002	Data handling	Data handling: Ingestion pipeline has no PII detection before chunking for internal policy corpus.	critical	Open	▸
RAG-003	Logging and audit	Logging and audit: Prompt and retrieval audit logs retained 14 days; policy requires 365 days for regulated queries.	high	Open	▸
RAG-004	Third-party AI	Third-party AI: Vendor subprocessors for embedding model not listed in current DPA addendum.	high	Open	▸
RAG-005	Resilience	Resilience: No graceful degradation when vector store is unavailable; UI returns stack traces to analysts.	high	Closed	▸
RAG-006	Model risk	Model risk: No documented evaluation for retrieval quality after corpus refresh.	medium	Open	▸

Sample deliverable 2

RAG pipeline: enterprise knowledge base

Retrieval-augmented generation: logical layers, end-to-end query flow, failure handling, and document lifecycle with content governance. Use the same tabs as Sample deliverable 1 to move between views.

Critical and high findings: post-review state

ID	Category	Description	Severity	Status
RAG-001	Access control	Access control: Retrieval index ACLs do not enforce user data classification when building query filters.	critical	Open	▸
RAG-002	Data handling	Data handling: Ingestion pipeline has no PII detection before chunking for internal policy corpus.	critical	Open	▸
RAG-003	Logging and audit	Logging and audit: Prompt and retrieval audit logs retained 14 days; policy requires 365 days for regulated queries.	high	Open	▸
RAG-004	Third-party AI	Third-party AI: Vendor subprocessors for embedding model not listed in current DPA addendum.	high	Open	▸
RAG-005	Resilience	Resilience: No graceful degradation when vector store is unavailable; UI returns stack traces to analysts.	high	Closed	▸
RAG-006	Model risk	Model risk: No documented evaluation for retrieval quality after corpus refresh.	medium	Open	▸

Sample deliverable 3

Agentic AI: workflow automation

Agent flows with CRM, email, and ticketing: architecture, approval-gated actions, failure paths, and governance. Tabs mirror Sample deliverable 1 for a consistent review layout.

Findings register: post-review state

ID	Category	Description	Severity	Status
AGT-001	Human approval	Human approval: CRM write actions do not require re-approval when ticket priority changes after initial human sign-off.	critical	Open	▸
AGT-002	Injection	Injection: User-supplied ticket text passed to agent prompt without structured delimiting.	critical	Open	▸
AGT-003	Scope	Scope: Agent tool manifest lists 14 actions; governance pack approves 9.	high	Open	▸
AGT-004	Identity	Identity: Service account for email send lacks step-up when mailbox is executive tier.	high	Open	▸
AGT-005	Audit	Audit: Agent action logs do not include correlation ID to CRM record in 12% of paths.	medium	Open	▸
AGT-006	Compensation	Compensation: Partial failure in ticketing leaves ticket open but CRM shows updated; no saga.	high	Closed	▸
AGT-007	Data minimization	Data minimization: Full email thread sent to model for summarization including external recipients.	high	Open	▸
AGT-008	Rate limits	Rate limits: No per-user throttle on agent runs; risk of API cost spike.	medium	Open	▸
AGT-009	Secrets	Secrets: Connector refresh token stored in app config vault without rotation schedule.	critical	Open	▸
AGT-010	Monitoring	Monitoring: SIEM rules do not alert on tool-call failures grouped by agent version.	medium	Open	▸
AGT-011	Governance	Governance: Prompt version for production not pinned; canary and prod drift possible.	high	Open	▸
AGT-012	Residency	Residency: LLM route defaults to US region; EU customer data may transit US for summarization.	critical	Open	▸
AGT-013	Testing	Testing: No automated regression for tool permission changes.	medium	Closed	▸
AGT-014	Vendor	Vendor: Subprocessor list for CRM connector not reviewed in 14 months.	medium	Open	▸

Sample Deliverable: Rapid Readiness Review

RAG Pipeline: Enterprise Knowledge Base

Representative output from a Rapid Readiness Review of an enterprise RAG deployment used for internal policy and compliance Q&A. Critical and high severity only. Client details removed.

Rapid Readiness Reviews focus on critical and high severity findings, not full structured framework depth. A Full Deployment Assurance Review applies full framework coverage across core domains and overlays (as scoped), with architecture diagrams and a complete remediation roadmap.

Conditional Go

POC approved with conditions. Pilot gate blocked pending two critical closures.

The RAG pipeline architecture is sound and the vendor DPA is in order. Two critical findings must be closed before pilot expansion: retrieval access controls are not scoped to the user's data classification level, and the document ingestion pipeline has no PII detection before chunking. Three high-severity findings are assigned with target dates and do not block POC.

Conditions for pilot approval

Close RAG-001 and RAG-002 with evidence on file before expanding pilot user group beyond 50 seats.
Complete DPA or routing remediation for RAG-004 before production customer data is indexed in EU-West embeddings.
Attach automated golden-set results to the next weekly corpus refresh (RAG-006) before pilot exit review.

Tool category

AI-Native SaaS

Deployment pattern

RAG pipeline

Corpus sensitivity

Internal: Confidential

Review type

Rapid Readiness

Overlays applied

RAG pipeline

Review areas

11 (critical + high only)

Critical and high findings: post-review state

ID	Category	Description	Severity	Status
RAG-001	Access control	Access control: Retrieval index ACLs do not enforce user data classification when building query filters.	critical	Open	▸
RAG-002	Data handling	Data handling: Ingestion pipeline has no PII detection before chunking for internal policy corpus.	critical	Open	▸
RAG-003	Logging and audit	Logging and audit: Prompt and retrieval audit logs retained 14 days; policy requires 365 days for regulated queries.	high	Open	▸
RAG-004	Third-party AI	Third-party AI: Vendor subprocessors for embedding model not listed in current DPA addendum.	high	Open	▸
RAG-005	Resilience	Resilience: No graceful degradation when vector store is unavailable; UI returns stack traces to analysts.	high	Closed	▸
RAG-006	Model risk	Model risk: No documented evaluation for retrieval quality after corpus refresh.	medium	Open	▸

Evidence checklist: approval stakeholders

Items required for pilot gate sign-off. Delivered to security, privacy, and architecture review board.

RAG-001 closure: classification-aware retrieval filters deployed and tested
Signed test report + prod change ticket
RAG-002 closure: PII classifier before chunk for all connectors
Connector config screenshots + DLP scan logs
RAG-003 closure: HR/legal workspace logs at 365-day retention
SIEM policy diff + sample log line
RAG-004 closure: DPA addendum or routing change for embeddings
Executed addendum or network diagram v2
RAG-005 verified closed in pilot environment
Error page capture + chaos re-run attestation
Pilot readiness sign-off from security architecture lead
Email approval in ticket RAG-PILOT-14

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