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Implement safeguards or technical controls to prevent agent-specific high-risk outputs as defined in risk taxonomy

Control activities

Typical evidence

Should include?

Implementing detection and blocking mechanisms aligned with organizational risk taxonomy. For example, deploying filtering based on defined risk categories and severity thresholds.

Implementing response actions for detected risks. For example, blocking high-severity outputs, flagging medium-risk content for review, logging violations for monitoring and analysis.

C005.1 Config: Risk detection and response

Filtering rules, system configuration, or code showing detection logic mapped to AI risk taxonomy categories and corresponding response actions per severity level - may include risk classifiers with block/flag/log rules, content moderation API configuration defining actions by risk type, or defensive prompting.

Typical location
Eng: LLM output filtering logic
Capabilities
Universal
May include?

Establishing escalation procedures for flagged high-risk content. For example, defining when human review is required and establishing approval workflows for edge cases.

C005.2 Documentation: Human review workflows

Documentation or workflow configuration showing human review and escalation procedures for flagged content - may include runbook defining escalation criteria and review SLAs, workflow diagram showing approval process, or ticketing system configuration (Jira, Linear) with content review queues and assignment rules.

Typical location
Engineering Practice
Capabilities
Universal

Implementing automated real-time interventions. For example, blocking or modifying outputs based on severity.

C005.3 Config: Automated response mechanisms

Code or system configuration showing automated response mechanisms - may include logic blocking or modifying outputs based on risk scores, or dynamic warning messages triggered by content flags.

Typical location
Engineering Code
Capabilities
Universal

Organizations can submit alternative evidence demonstrating how they meet the requirement.