FP&A Platform — Artifact Gap Analysis v2.0

Status Update

Completed Artifacts (Session 2)

ID	Artifact	Status
GAP-001	Test Strategy Document	✅ Created
GAP-002	Data Dictionary	✅ Created
GAP-007	AI Model Cards	✅ Created
GAP-011	Disaster Recovery Plan	✅ Created

---

Remaining Critical Gaps

Batch 1: Engineering Critical (Create Now)

ID	Artifact	Criticality	Impact if Missing
GAP-003	API Contracts (OpenAPI 3.0)	CRITICAL	No contract-first development, integration failures, inconsistent APIs
GAP-008	Prompt Engineering Playbook	CRITICAL	Inconsistent AI behavior, no version control, compliance gaps
GAP-012	Monitoring & Alerting Spec	CRITICAL	Blind to incidents, SLA breaches undetected, no observability
GAP-015	Security Specification	CRITICAL	Unmitigated threats, compliance failures, breach risk

Batch 2: Architecture Critical (Create Next)

ID	Artifact	Criticality	Impact if Missing
GAP-004	Event Catalog	HIGH	Event-driven architecture undocumented, coupling risks
GAP-005	State Machine Diagrams	HIGH	Workflow transitions unclear, edge cases missed
GAP-006	Database Migration Strategy	HIGH	Schema changes break production, no rollback
GAP-009	ML Pipeline Specification	HIGH	Training undefined, model drift unmonitored

Batch 3: Operations Critical

ID	Artifact	Criticality	Impact if Missing
GAP-013	Runbook/Operations Guide	HIGH	Tribal knowledge, inconsistent incident response
GAP-016	Data Classification Matrix	CRITICAL	PII/PHI handling inconsistent, compliance violations
GAP-017	Incident Response Playbook	HIGH	Breach response ad-hoc, regulatory notification delayed

---

Newly Identified Gaps

Category 7: Developer Experience (Missing)

ID	Artifact	Criticality	Why Missing Hurts
GAP-024	Developer Onboarding Guide	MEDIUM	Slow ramp-up, inconsistent setup, knowledge silos
GAP-025	Code Standards & Style Guide	MEDIUM	Inconsistent code, review friction, maintainability
GAP-026	API Versioning Strategy	HIGH	Breaking changes, client compatibility issues
GAP-027	Error Handling Standards	HIGH	Inconsistent errors, poor debugging, user confusion
GAP-028	Logging Standards	HIGH	Unstructured logs, debugging impossible, compliance gaps

Category 8: Architecture Governance (Missing)

ID	Artifact	Criticality	Why Missing Hurts
GAP-029	Domain Model (DDD)	HIGH	Bounded contexts unclear, coupling, wrong abstractions
GAP-030	Event Storming Documentation	HIGH	Business processes undocumented, wrong event design
GAP-031	Architecture Fitness Functions	MEDIUM	Quality degradation undetected, technical debt accumulation
GAP-032	Technical Debt Register	MEDIUM	Debt untracked, prioritization impossible

Category 9: Release Engineering (Missing)

ID	Artifact	Criticality	Why Missing Hurts
GAP-033	Release Management Process	HIGH	Chaotic releases, rollback undefined, risk management gaps
GAP-034	Feature Flag Strategy	MEDIUM	All-or-nothing releases, no gradual rollout, testing in prod impossible
GAP-035	Deprecation Policy	MEDIUM	Breaking changes surprise users, migration undefined

Category 10: Performance Engineering (Missing)

ID	Artifact	Criticality	Why Missing Hurts
GAP-036	Performance Benchmarks	HIGH	No baselines, regression undetected, SLA undefined
GAP-037	Load Testing Scenarios	HIGH	Capacity unknown, month-end failures
GAP-038	Capacity Planning Model	MEDIUM	Over/under provisioning, cost overruns

Category 11: Cost Management (Missing)

ID	Artifact	Criticality	Why Missing Hurts
GAP-039	Cloud Cost Optimization Guide	MEDIUM	Runaway costs, inefficient resource usage
GAP-040	Token Economics Model	HIGH	AI costs unpredictable, budget overruns

Category 12: Customer-Facing (Missing)

ID	Artifact	Criticality	Why Missing Hurts
GAP-041	SLA Definitions	HIGH	Customer expectations undefined, disputes
GAP-042	Customer Onboarding Playbook	MEDIUM	Slow time-to-value, churn risk
GAP-043	Support Escalation Matrix	MEDIUM	Inconsistent support, customer frustration

---

Priority Execution Order

Immediate (This Session)

1. GAP-008: Prompt Engineering Playbook — Foundation for all AI agents
2. GAP-015: Security Specification — Required for compliance
3. GAP-012: Monitoring & Alerting Spec — Required for operations
4. GAP-004: Event Catalog — Required for event-driven architecture
5. GAP-016: Data Classification Matrix — Required for compliance

Next Session

6. GAP-003: API Contracts (OpenAPI 3.0)
7. GAP-005: State Machine Diagrams
8. GAP-029: Domain Model (DDD)
9. GAP-033: Release Management Process
10. GAP-036: Performance Benchmarks

---

Prompts for Immediate Artifacts

PROMPT GAP-008: Prompt Engineering Playbook

You are a senior AI engineer creating a comprehensive prompt engineering playbook for a multi-agent FP&A platform.

Create a PROMPT ENGINEERING PLAYBOOK covering:

1. AGENT SYSTEM PROMPTS
   For each agent type, provide complete production-ready system prompts:
   
   A. ORCHESTRATOR AGENT
   - Role: Central coordinator routing tasks to specialized agents
   - Capabilities: Task classification, context management, escalation
   - Constraints: Must respect compliance gates, human checkpoints
   - Output format: Structured routing decisions
   
   B. RECONCILIATION AGENT  
   - Role: Bank reconciliation specialist
   - Capabilities: Match suggestion, exception analysis, reporting
   - Constraints: 85% confidence threshold, audit trail requirements
   - Output format: Match recommendations with explanations
   
   C. VARIANCE ANALYSIS AGENT
   - Role: FP&A analyst for budget vs actual analysis
   - Capabilities: Variance calculation, driver identification, commentary
   - Constraints: Materiality thresholds, executive audience
   - Output format: Narrative paragraphs with data support
   
   D. FORECASTING AGENT
   - Role: Financial forecaster
   - Capabilities: Model selection, scenario analysis, confidence intervals
   - Constraints: Historical data requirements, assumption documentation
   
   E. COMPLIANCE MONITORING AGENT
   - Role: Internal auditor for control testing
   - Capabilities: Control testing, evidence collection, finding documentation
   - Constraints: Framework-specific requirements (SOX, HIPAA, etc.)

2. PROMPT PATTERNS WITH EXAMPLES
   - Chain-of-Thought (CoT) with financial examples
   - Few-Shot Learning for format standardization
   - ReAct (Reasoning + Acting) for tool use
   - Self-Consistency for high-stakes decisions
   - Tree-of-Thought for complex analysis

3. TOOL DEFINITIONS (complete schemas)
   - database_query: SQL execution
   - calculate: Mathematical operations
   - fetch_external: API calls
   - generate_report: Template population
   - request_approval: Human checkpoint

4. GUARDRAILS AND VALIDATION
   - Input validation schemas
   - Output validation rules
   - Confidence thresholds
   - Token budget management
   - Hallucination prevention

5. VERSION CONTROL STRATEGY
   - Prompt versioning (semantic)
   - A/B testing framework
   - Rollback procedures
   - Change documentation

6. EVALUATION METRICS
   - Task completion rate
   - Factual accuracy
   - User satisfaction
   - Token efficiency
   - Latency

Output: Production-ready playbook with complete prompt templates.

PROMPT GAP-015: Security Specification

You are a security architect creating a comprehensive security specification for an AI-first FP&A platform handling financial data in regulated industries.

Create a SECURITY SPECIFICATION covering:

1. THREAT MODEL
   A. Threat Actors
   - External (opportunistic, targeted, nation-state)
   - Internal (malicious, negligent)
   - Third-party (supply chain, integration partners)
   
   B. Attack Vectors (prioritized)
   - OWASP Top 10 Web Application
   - API-specific attacks
   - AI/ML-specific attacks (prompt injection, data poisoning)
   - Supply chain attacks
   - Social engineering

2. SECURITY ARCHITECTURE
   - Defense in depth layers
   - Zero trust implementation
   - Network segmentation
   - Service mesh security

3. AUTHENTICATION & AUTHORIZATION
   - OAuth2/OIDC implementation
   - MFA requirements by role
   - API key management
   - Service-to-service auth
   - Session management
   - OpenFGA integration details

4. DATA PROTECTION
   - Encryption at rest (AES-256)
   - Encryption in transit (TLS 1.3)
   - Field-level encryption for PII/PHI
   - Key management (KMS)
   - Key rotation schedule
   - Data masking for non-prod

5. APPLICATION SECURITY
   - Secure coding standards
   - Input validation
   - Output encoding
   - CSRF/XSS protection
   - SQL injection prevention
   - Dependency management

6. AI/ML SECURITY
   - Prompt injection prevention
   - Model access controls
   - Training data protection
   - Inference logging
   - Output sanitization

7. COMPLIANCE CONTROLS MAPPING
   - SOX technical controls
   - HIPAA technical safeguards
   - FDA 21 CFR Part 11
   - LGPD requirements
   - SOC 2 criteria

8. SECURITY TESTING
   - SAST tools and thresholds
   - DAST tools and thresholds
   - Penetration testing scope
   - Bug bounty program
   - Security review process

9. INCIDENT RESPONSE
   - Classification matrix
   - Response procedures
   - Forensics capabilities
   - Breach notification timelines

Output: Complete security specification with implementation details.

PROMPT GAP-012: Monitoring & Alerting Specification

You are an SRE architect designing comprehensive monitoring and alerting for an AI-first FP&A platform.

Create a MONITORING & ALERTING SPECIFICATION covering:

1. OBSERVABILITY PILLARS
   A. Metrics (Prometheus)
   - Infrastructure metrics (CPU, memory, disk, network)
   - Application metrics (request rate, latency, errors)
   - Business metrics (transactions, reconciliations, forecasts)
   - AI metrics (inference latency, token usage, confidence)
   
   B. Logs (Loki/ELK)
   - Log levels and usage
   - Structured logging format
   - Log retention policies
   - PII redaction rules
   
   C. Traces (OpenTelemetry/Jaeger)
   - Distributed tracing setup
   - Trace sampling strategy
   - Trace retention

2. SERVICE LEVEL OBJECTIVES (SLOs)
   - Availability targets by tier
   - Latency targets by endpoint
   - Error budget policy
   - SLI definitions

3. ALERTING RULES
   For each service, define:
   - Alert name and description
   - PromQL/query expression
   - Thresholds (warning, critical)
   - Severity classification
   - Runbook link
   - Routing (PagerDuty, Slack)

4. DASHBOARDS
   - Executive dashboard (SLA compliance)
   - Engineering dashboard (service health)
   - On-call dashboard (incidents)
   - AI/ML dashboard (model performance)
   - Cost dashboard (resource usage)

5. ANOMALY DETECTION
   - Baseline establishment
   - Deviation thresholds
   - Seasonal adjustments

6. ALERT MANAGEMENT
   - Severity levels (P1-P4)
   - Escalation policies
   - On-call schedules
   - Alert suppression rules
   - Maintenance windows

7. HEALTH CHECKS
   - Liveness probes
   - Readiness probes
   - Dependency checks
   - Synthetic monitoring

Output: Complete specification with Prometheus rules, Grafana dashboards, and alert definitions.

PROMPT GAP-004: Event Catalog

You are an architect documenting the event-driven architecture for an AI-first FP&A platform.

Create an EVENT CATALOG covering:

1. EVENT OVERVIEW
   - Event-driven architecture patterns used
   - Message broker (Kafka) configuration
   - Event schema registry
   - Event versioning strategy

2. DOMAIN EVENTS (complete list)
   
   A. Accounting Domain
   - JournalEntryCreated
   - JournalEntryApproved
   - JournalEntryPosted
   - JournalEntryReversed
   - PeriodClosed
   - PeriodReopened
   - TrialBalanceGenerated
   
   B. Reconciliation Domain
   - ReconciliationSessionStarted
   - BankTransactionsImported
   - MatchSuggested
   - MatchConfirmed
   - MatchRejected
   - ExceptionCreated
   - ExceptionResolved
   - ReconciliationCompleted
   
   C. Planning Domain
   - BudgetCreated
   - BudgetApproved
   - ForecastGenerated
   - ScenarioCreated
   - VarianceCalculated
   
   D. Integration Domain
   - ConnectionEstablished
   - SyncStarted
   - SyncCompleted
   - SyncFailed
   - DataTransformed
   
   E. AI/Agent Domain
   - AgentSessionStarted
   - AgentTaskAssigned
   - AgentToolCalled
   - AgentCheckpointCreated
   - HumanApprovalRequested
   - HumanApprovalReceived
   - AgentSessionCompleted
   
   F. Compliance Domain
   - ControlTestExecuted
   - EvidenceCollected
   - FindingCreated
   - FindingRemediated
   - ComplianceReportGenerated

3. EVENT SCHEMAS (CloudEvents format)
   For each event:
   - Event type (namespaced)
   - Source
   - Subject
   - Data schema (JSON Schema)
   - Required fields
   - Optional fields
   - Example payload

4. EVENT FLOWS
   - Key business process flows as event sequences
   - Saga patterns for distributed transactions
   - Compensation events

5. CONSUMERS AND PRODUCERS
   - Which services produce each event
   - Which services consume each event
   - Consumer group strategy

6. EVENT STORAGE
   - Retention policies
   - Replay capabilities
   - Dead letter queues

Output: Complete event catalog with schemas and flow diagrams.

PROMPT GAP-016: Data Classification Matrix

You are a data governance specialist creating a data classification matrix for an AI-first FP&A platform handling financial and personal data.

Create a DATA CLASSIFICATION MATRIX covering:

1. CLASSIFICATION LEVELS (4 tiers)
   - PUBLIC: Freely shareable
   - INTERNAL: Business use only
   - CONFIDENTIAL: Sensitive business data
   - RESTRICTED: Regulated/highly sensitive

2. COMPLETE DATA INVENTORY
   Map every data element to classification:
   
   A. User Data
   - Authentication credentials
   - Profile information
   - Contact details
   - Preferences
   
   B. Financial Data
   - Journal entries
   - Account balances
   - Forecasts
   - Budgets
   - Bank transactions
   
   C. Operational Data
   - Audit logs
   - System logs
   - AI agent sessions
   - Integration credentials
   
   D. Analytical Data
   - Reports
   - Dashboards
   - ML model outputs

3. HANDLING REQUIREMENTS BY LEVEL
   - Storage requirements
   - Encryption requirements
   - Access control requirements
   - Transmission requirements
   - Retention requirements
   - Disposal requirements

4. REGULATORY MAPPINGS
   - PII fields → GDPR/CCPA/LGPD
   - PHI fields → HIPAA
   - Financial fields → SOX
   - Audit fields → FDA 21 CFR 11

5. ACCESS CONTROL MATRIX
   - Role-based access by classification level
   - Segregation of duties requirements
   - Approval workflows

6. LABELING AND TAGGING
   - Database column tags
   - API response headers
   - Document labels
   - Log redaction rules

7. DATA FLOW DIAGRAMS
   - How classified data moves through system
   - Cross-boundary controls
   - Third-party data sharing

Output: Complete classification matrix with field-level mappings.