Applied Audit 01: OpenAI Swarm — Framework-native governance controls versus externally required controls under the Vertical AI Governance Stack v1.0

This technical report presents Applied Audit 01, an assessment of OpenAI Swarm under the Vertical AI Governance Stack v1.0. It examines the distinction between governance controls provided natively by the agent orchestration framework and controls that require additional implementation or enforcement outside the framework.

The audit uses the reference architecture as an assessment framework to examine agent capability boundaries, execution governance, verification requirements, and the availability of auditable evidence. Its purpose is to identify documented framework capabilities and distinguish them from governance responsibilities that remain with the implementing organization.

The report provides a framework-specific conformance assessment rather than a certification of the framework or a guarantee of regulatory compliance. Its findings are limited to the assessed implementation and evaluation scope.