Insights · AI Governance

Enforcing PHI Boundaries and Human Approval Gates in Enterprise RAG Knowledge Systems

How regulated groups deploy AI assistants that cite their sources, respect entity lines, and stop before acting.

The risk

A retrieval-augmented generation (RAG) system answers questions by pulling passages from a document store. If one store holds every subsidiary's contracts and every clinic's records, the system can surface one entity's confidential terms or a patient's PHI to a user with no right to see them.

Isolation by design

HSK builds a shared governance core (policies, templates, and public regulatory text) and separate, ring-fenced bundles for each entity, client, or clinical unit. Retrieval is filtered by the user's role and entity before the model sees any passage. PHI stays in segregated stores that general assistants cannot query.

Citations and logs

Every answer cites the source file and passage. Every query, retrieval, and output is written to an immutable audit log that can be sampled during a SOC 2 or HIPAA review.

Human approval gates

Workflows for regulatory watch, contract compliance review, provider credentialing, and competitive intelligence stop at a named reviewer before any output becomes a filing, a negotiating position, or a credentialing decision. Escalation caps limit how many automated steps can run before a person must approve.

This briefing is general information, not legal advice. Requirements vary by state and by the facts of each organization.

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Bring a regulatory, financial, or governance question to the right practice group.

Haddon, Staples, and Keith, Inc. scopes each engagement around a defined risk, a defined deliverable, and a named practice lead. Initial conversations are confidential.

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