A real result, for a fictional firm.
This is exactly what an organisation receives after an AQE assessment. Excel Invests and Jason Butler are fictional; no real organisation or person has been assessed.
Verdict
Qualified with conditions
The deployment may go ahead within its assessed scope. Fourteen required actions must be completed before it can be fully qualified.
- Use case
- AI in back-office process automation
- Sector
- US financial services
- Reference
- AQE-63528BB9
- Framework
- 2.0.4 · gap library 2026-02-US
- Named owner
- Jason Butler, Chief Product Officer (fictional)
The AI recommends and a person decides, and it is used by a single team.
A named owner can stop the system, but senior leadership has not yet been told about it.
How the verdict was reached
Six answers decide the position. The same answers, under the same framework version, always produce the same verdict.
| Question | Answer |
|---|---|
| Is someone officially in charge of this AI system? | Yes |
| Can that person stop or pause it if something goes wrong? | Yes |
| Does senior leadership or the board know about it? | No |
| How much does the AI decide on its own? | Recommends, human decides |
| How widely will it be used? | Single team |
| Deployment-blocking governance signals found | None |
Where the organisation stands
24 questions across five areas, each scored out of 10. All five fall short of the pass level of 7, and each comes with required actions in the evidence book.
The dark line marks the pass level of 7.
Frameworks referenced
Findings point to the obligations they relate to. They are not legal advice and not a finding of breach.
| Framework | Status |
|---|---|
| NIST AI RMF: Govern | Review |
| NIST AI RMF: Manage | Review |
| State AI laws (Colorado, California, Texas) | Review |
| Sector regulators (SEC, FINRA, OCC, HHS) | Not assessed |
| ISO/IEC 42001:2023 | Not assessed |
Anyone can check the result
No AI model and no assessor judgement sit in the decision. Each report carries two fingerprints: one identifies the exact ruleset used, the other the decision it produced. Recomputing them from the inputs confirms nothing was changed.
- Ruleset
- 68f1741f0e8b622f…
- Decision
- 820b2f4553c2e190…