Identity before disclosure
Apply the approved identity and disclosure rules before sharing sensitive account information.
TRUST & CONTROLS
Make every control claim inspectable.
The institution retains business authority, policy approval and the acceptance decision. For each covered action, define the trigger, permitted behavior, responsible owner and evidence. Validate the control in the environment and workflow where it will operate.
Turn boundaries into testable behavior.
Authority before action
Reject a covered action when permission or required approval is missing. A model suggestion cannot supply that approval.
Verified state before a conclusion
Preserve the distinction between a statement and an authoritative fact. Missing, stale or conflicting evidence stays visible and follows the agreed restriction and review path.
An owner for the exception
Assign complaints, disputes and control failures to a designated reviewer, with a recorded outcome and conditions for recovery.
Financial decisions stay with authorized people.
The model does not approve debt forgiveness, restructuring or asset disposal. Policy changes require review and controlled release; post-call improvement suggestions do not directly rewrite live rules.
Data processing and model training need separate authorization.
Define the source, purpose, access roles, retention and deletion arrangements for each dataset. Retrieval, prompt and policy improvement, model training and independent evaluation are distinct uses. Permission to process production data does not automatically authorize training.
De-identification can reduce identification risk; it does not create permission or establish absolute anonymity.
Verify these two boundaries explicitly.
Pausing new work and ending a live call
New tasks, queued tasks, initiated calls and active conversations require separate handling and final-state checks.
Human review and live transfer
Human review is follow-up ownership and decision confirmation. The current delivery scope does not include immediate transfer to a human during the call.
Ask for the evidence behind “passed.”
Link the test case to its environment, policy and component versions, actual execution result and recovery record. Keep unresolved items marked as unverified. Serious incidents need their own stop, review and recovery decision, independent of average performance.
Controls do not eliminate all risk. Their scope and effectiveness require project-specific testing and do not establish legal compliance on their own.
Set the pilot acceptance criteria