Controls

Each incident grouped by the controls it is mapped to. An incident appears under every control it cites. Mappings follow the method; they name controls that could have prevented or detected the failure, not who was at fault.

NIST AI RMF subcategories

GOVERN 1.1 GOVERN 6.1 MAP 3.5 MAP 4.1 MEASURE 2.7 MANAGE 2.4 MANAGE 3.1 MANAGE 4.1

GOVERN 1.1 Legal and regulatory requirements are understood and managed 1

GOVERN 6.1 Policies address risks from third-party software and data 3

MAP 3.5 Processes for human oversight are defined and documented 1

MAP 4.1 Risks from third-party components are mapped 8

MEASURE 2.7 Security and resilience are evaluated and documented 20

MANAGE 2.4 Mechanisms exist to supersede, disengage, or deactivate the system 12

MANAGE 3.1 Third-party risks are monitored and controls applied 2

MANAGE 4.1 Post-deployment monitoring is in place 4

NIST SP 800-53 controls

AC-2 AC-3 AC-4 AC-6 AU-6 CM-3 CM-5 CM-7 CM-14 CP-9 IA-2 IA-5 IR-4 SA-10 SC-7 SI-2 SI-4 SI-7 SI-10 SI-15 SR-3 SR-4 SR-11

AC-2 Account Management 2

AC-3 Access Enforcement 3

AC-4 Information Flow Enforcement 16

AC-6 Least Privilege 13

AU-6 Audit Record Review, Analysis, and Reporting 1

CM-3 Configuration Change Control 2

CM-5 Access Restrictions for Change 4

CM-7 Least Functionality 4

CM-14 Signed Components 1

CP-9 System Backup 1

IA-2 Identification and Authentication (Organizational Users) 1

IA-5 Authenticator Management 6

IR-4 Incident Handling 1

SA-10 Developer Configuration Management 2

SC-7 Boundary Protection 7

SI-2 Flaw Remediation 4

SI-4 System Monitoring 4

SI-7 Software, Firmware, and Information Integrity 5

SI-10 Information Input Validation 21

SI-15 Information Output Filtering 1

SR-3 Supply Chain Controls and Processes 6

SR-4 Provenance 2

SR-11 Component Authenticity 2

Human-approval (JCR) checkpoint

Checkpoint applies 12

A human approval before an irreversible or externally visible agent action could have stopped the harm.

Checkpoint partly applies 6

An approval step existed but could be bypassed.

Not applicable 15

The harm happened on a read/answer path or the agent was attacker-operated, so an action approval could not have stopped it.