> ## Documentation Index
> Fetch the complete documentation index at: https://standard.aiuc-1.com/llms.txt
> Use this file to discover all available pages before exploring further.

# E002: AI failure plan for harmful outputs

export const InlineClock = ({city, timeZone}) => {
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    const id = setInterval(update, 1000);
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  return <div className="aiuc-footer-clock">
      <span className="aiuc-footer-clock-city">{city}</span>
      <span className="aiuc-footer-clock-time">{time}</span>
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};

Document AI failure plan for harmful AI outputs that cause significant customer harm assigning accountable owners and establishing remediation with third-party support as needed (e.g. legal, PR, insurers)

<div className="aiuc-requirement-overview">
  <section className="aiuc-requirement-overview-section aiuc-requirement-overview-taxonomy">
    <div className="aiuc-requirement-overview-group">
      <div className="aiuc-requirement-overview-label">Keywords</div>

      <div className="aiuc-requirement-overview-pill-list">
        <span className="aiuc-requirement-overview-pill">Incident Response</span>
        <span className="aiuc-requirement-overview-pill">Emergency Response</span>
        <span className="aiuc-requirement-overview-pill">Harmful Outputs</span>
        <span className="aiuc-requirement-overview-pill">Hallucinations</span>
        <span className="aiuc-requirement-overview-pill">Vendors</span>
      </div>
    </div>
  </section>

  <section className="aiuc-requirement-overview-section aiuc-requirement-overview-details">
    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Application</div>
      <span className="aiuc-requirement-overview-pill">Mandatory</span>
    </div>

    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Frequency</div>
      <span className="aiuc-requirement-overview-pill">Every 12 months</span>
    </div>

    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Type</div>
      <span className="aiuc-requirement-overview-pill">Preventative</span>
    </div>

    <div className="aiuc-requirement-overview-detail">
      <div className="aiuc-requirement-overview-label">Capabilities</div>

      <div className="aiuc-requirement-overview-pill-list">
        <span className="aiuc-requirement-overview-pill">External-facing</span>
      </div>
    </div>
  </section>

  <section className="aiuc-requirement-overview-section aiuc-requirement-overview-crosswalks">
    <div className="aiuc-requirement-overview-label">Crosswalks</div>

    <div className="aiuc-requirement-crosswalk-grid">
      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">EU AI Act</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="EU regulation classifies AI systems by risk levels (minimal, limited, high, unacceptable) with corresponding compliance obligations" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/eu-ai-act" title="This article states that if a company providing a high-risk AI system realizes that their system is not following the rules set by the EU, they must immediatel…">Article 20: Corrective Actions and Duty of Information</a>
          <a href="/crosswalks/eu-ai-act" title="This article states that companies who provide high-risk AI systems must report any serious incidents to the authorities in the country where the incident occu…">Article 73: Reporting of Serious Incidents</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">ISO 42001</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="International standard for AI management systems (AIMS) covering responsible AI development and deployment" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/iso-42001" title="The organization shall determine and document a plan for communicating incidents to users of the AI system.">A.8.4: Communication of incidents</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">NIST AI RMF</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="US government framework for managing AI risks throughout the AI lifecycle with four core functions: Govern, Map, Measure, Manage" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/nist-ai-rmf" title="Organizational practices are in place to enable AI testing, identification of incidents, and information sharing.">GOVERN 4.3: Testing and incident sharing</a>
          <a href="/crosswalks/nist-ai-rmf" title="Responses to the AI risks deemed high priority as identified by the Map function, are developed, planned, and documented. Risk response options can include mit…">MANAGE 1.3: Risk response planning</a>
          <a href="/crosswalks/nist-ai-rmf" title="Incidents and errors are communicated to relevant AI actors including affected communities. Processes for tracking, responding to, and recovering from incident…">MANAGE 4.3: Incident communication</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">CSA AICM</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Cloud Security Alliance’s AI Controls Matrix provides security controls framework specifically designed for AI/ML systems" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/csa-aicm" title="Establish, document, approve, communicate, apply, evaluate and maintaina disaster response plan to recover from natural and man-made disasters. Updatethe plan…">BCR-09: Disaster Response Plan</a>
          <a href="/crosswalks/csa-aicm" title="Exercise the disaster response plan annually or upon significantchanges, including, if possible, participation of local emergency authorities.">BCR-10: Response Plan Exercise</a>
          <a href="/crosswalks/csa-aicm" title="Define incident categories and severity levels for AI systems, and determine response procedures for each, including automated response where applicable.">SEF-09: Incident Response</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">IBM AI Risk Atlas</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Comprehensive taxonomy of risks associated with ML models, GenAI, and AI Agents from IBM Research" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/ibm-ai-risk-atlas" title="The large number of components and dependencies that agent systems have complicates keeping them up to date and correcting problems.">IBM 12: Agentic AI - Mitigation and maintenance</a>
          <a href="/crosswalks/ibm-ai-risk-atlas" title="A model might generate language that leads to physical harm. The language might include overtly violent, covertly dangerous, or otherwise indirectly unsafe sta…">IBM 60: Output - Harmful output</a>
          <a href="/crosswalks/ibm-ai-risk-atlas" title="Determining who is responsible for an AI model is challenging without good documentation and governance processes. The use of synthetic data in model developme…">IBM 89: Non-Technical - Legal accountability</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">CO AI Act</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Colorado AI Act requires developers and deployers of high-risk AI systems to use reasonable care to protect consumers from algorithmic discrimination" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/co-ai-act" title="Imposes a duty of reasonable care on developers and requires documentation, public disclosure, and reporting of known algorithmic discrimination risks.">6-1-1702: Developer Duties</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">CA SB 53</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="California Senate Bill 53 establishes safety requirements for frontier AI models including shutdown capabilities and safety testing" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/ca-sb-53" title="Requires all frontier developers to report critical safety incidents to OES within 15 days, and immediately to appropriate authorities when imminent harm is po…">22757.13: Critical Safety Incident Reporting</a>
        </div>
      </div>

      <div className="aiuc-requirement-crosswalk-group">
        <div className="aiuc-requirement-crosswalk-heading">
          <span className="aiuc-requirement-crosswalk-title">OWASP Agentic Top 10</span> <span className="aiuc-help-marker aiuc-crosswalk-help-marker" data-tooltip="Curated list of the most critical security threats to autonomous AI agent systems" tabIndex="0">?</span>
        </div>

        <div className="aiuc-requirement-crosswalk-rule" aria-hidden="true" />

        <div className="aiuc-requirement-crosswalk-items">
          <a href="/crosswalks/owasp-agentic-top-10" title="Small errors in one agent propagate across planning, execution, and memory, amplifying through interconnected systems. False signals cascade through automated…">ASI08 - Cascading Failures</a>
        </div>
      </div>
    </div>
  </section>
</div>

<section className="aiuc-requirement-control-evidence">
  <div className="aiuc-requirement-control-evidence-headings">
    <h2>Control activities</h2>
    <h2>Typical evidence</h2>
  </div>

  <div className="aiuc-requirement-control-evidence-group">
    <div className="aiuc-requirement-control-evidence-label">
      <span>Should include</span> <span className="aiuc-help-marker" data-tooltip="Organizations must demonstrate core controls to meet the requirement. Auditors may accept alternative implementations that achieve equivalent outcomes." tabIndex="0">?</span>
    </div>

    <div className="aiuc-requirement-control-evidence-row">
      <div className="aiuc-requirement-card aiuc-requirement-control-card">
        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Implementing customer communication protocols.</strong> For example, disclosure procedures, explanation of corrective actions, and follow-up commitments with executive approval for significant incidents.</p>
        </div>

        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Establishing immediate mitigation steps with designated staff responsibilities.</strong> For example, system freeze capabilities, output suppression, customer notification, and system adjustments.</p>
        </div>
      </div>

      <div className="aiuc-requirement-card aiuc-requirement-evidence-card">
        <div className="aiuc-requirement-evidence-title">E002.1 Documentation: AI failure plan for harmful outputs</div>
        <p>Can be standalone document or integrated in existing incident response procedures/policies</p>

        <div className="aiuc-requirement-evidence-meta">
          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Category</div>
            <a href="/evidence/operational-practices">Operational Practices</a>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Typical location</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">AI failure plan</span>
            </div>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Capabilities</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">External-facing</span>
            </div>
          </div>
        </div>
      </div>
    </div>
  </div>

  <div className="aiuc-requirement-control-evidence-group">
    <div className="aiuc-requirement-control-evidence-label">
      <span>May include</span> <span className="aiuc-help-marker" data-tooltip="Supplemental controls demonstrating additional safeguards. Recommended when particularly relevant to the organization’s use case." tabIndex="0">?</span>
    </div>

    <div className="aiuc-requirement-control-evidence-row">
      <div className="aiuc-requirement-card aiuc-requirement-control-card">
        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Defining harmful output categories with reference to risk taxonomy.</strong> For example, discriminatory content, offensive material, inappropriate recommendations, ideally with concrete examples.</p>
        </div>

        <div className="aiuc-requirement-control-item">
          <span className="aiuc-requirement-control-bullet" aria-hidden="true" />

          <p><strong>Coordinating external support engagement.</strong> For example, legal counsel consultation, PR support, and insurance claim procedures.</p>
        </div>
      </div>

      <div className="aiuc-requirement-card aiuc-requirement-evidence-card">
        <div className="aiuc-requirement-evidence-title">E002.2 Documentation: Additional harmful output failure procedures</div>
        <p>May include harmful output category definitions referenced to risk taxonomy, external support contact list (legal counsel, PR firms, insurance providers), support engagement procedures or runbooks, or escalation criteria for involving external parties.</p>

        <div className="aiuc-requirement-evidence-meta">
          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Category</div>
            <a href="/evidence/operational-practices">Operational Practices</a>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Typical location</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">AI failure plan</span>
            </div>
          </div>

          <div className="aiuc-requirement-evidence-meta-group">
            <div className="aiuc-requirement-evidence-meta-label">Capabilities</div>

            <div className="aiuc-requirement-evidence-pill-list">
              <span className="aiuc-requirement-evidence-pill">External-facing</span>
            </div>
          </div>
        </div>
      </div>
    </div>
  </div>

  <p className="aiuc-requirement-alternative-evidence">Organizations can submit alternative evidence demonstrating how they meet the requirement.</p>
</section>

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        <span className="aiuc-footer-codeblock-header">Structural unit</span>
        <span className="aiuc-footer-codeblock-code">a.</span>
        <span className="aiuc-footer-codeblock-text">AIUC-1 requirements for agent data, privacy, security, safety, reliability, accountability, and societal risk.</span>
        <span className="aiuc-footer-codeblock-code">b.</span>
        <span className="aiuc-footer-codeblock-text">Evidence templates for technical implementation, legal policy, operational practice, and third-party evaluation.</span>
        <span className="aiuc-footer-codeblock-code">c.</span>
        <span className="aiuc-footer-codeblock-text">Crosswalks to AI regulations, standards, and security frameworks.</span>
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