Autonomy Calibration & Planning-Only Default

Organizations should grant autonomy according to the potential blast radius of each task rather than as a standing property of the synthetic subject.

 

New or high-risk synthetic subjects should default to planning-only or read-only operation. Exploratory and reconnaissance activity should not include write access, while destructive actions should run in dry-run mode. High-stakes contexts and declared change-freeze windows should also prevent modification of protected systems or data.

 

Standing autonomous loops should be restricted, with step-up approval required as the potential impact increases. High-impact autonomy should be limited to actions whose outcomes can be independently verified through deterministic checks, a separate model, or rule-based validation rather than the synthetic subject’s own account.

Sections

ID Name Description
DR004Autonomous AI Agent

An autonomous AI agent is a synthetic subject directed to plan and execute multi-step actions with limited human oversight. It may read context, call tools, write to systems, chain actions, and decide intermediate steps in pursuit of a goal.

 

This deployment pattern creates an elevated exposure condition because autonomy and access compound. A single instruction, poisoned input, or misunderstood objective may result in multiple real actions before a human reviews the outcome.

 

The primary risk is state-changing execution. Unlike an assistant that advises, an autonomous AI agent can act: deleting data, modifying records, sending messages, changing configuration, running commands, moving funds, or triggering downstream workflows. If its credentials, tools, or connectors are broad, the blast radius may extend across production systems, repositories, customer records, mailboxes, or external services.

 

A related risk is untrusted input steering. The agent may ingest web pages, files, tickets, emails, lead forms, code comments, or other external content while deciding what to do next. If that content contains instructions, the model may treat them as part of the task and execute actions under the agent’s authority.

 

Investigators should review the agent’s directive, tool access, credentials, service identity, action logs, planning records, ingested content, approval gates, execution timeline, and authoritative system logs. Particular attention should be given to destructive actions, bulk operations, external sends, actions outside the declared objective, and discrepancies between the agent’s self-report and actual system activity.

 

Investigative Relevance

Autonomous AI agents are relevant because they can convert a directive into a sequence of operational actions. Their autonomy may allow a benign-sounding goal to expand into destructive, unauthorized, or externally visible effects.

CF008Autonomous Action Control

Autonomous action control is the configuration that determines how much of the observe, decide, and act loop a synthetic subject can complete without human approval. It includes whether the synthetic subject can plan, call tools, execute actions, continue loops, or affect systems independently.

 

This configuration creates an elevated exposure condition because autonomy changes the speed and scale of action. A synthetic subject with broad autonomy may perform multiple steps, call tools, make decisions, and trigger downstream effects before a human reviews the result.

 

The primary risk is insufficient approval gating. If irreversible, privileged, externally visible, or high-impact actions do not require enforced human approval, the synthetic subject may delete data, modify records, send messages, change configuration, move funds, or trigger workflows without meaningful oversight.

 

A related risk is rubber-stamped approval. Human-in-the-loop controls may exist, but provide limited protection where approvals are too frequent, low-context, low-value, or routinely accepted without review. In these cases, the workflow may appear supervised while the synthetic subject effectively operates autonomously.

 

Investigators should review autonomy settings, approval gates, tool permissions, action logs, escalation rules, loop limits, run duration, reviewer records, approval latency, and autonomous-to-approved action ratios. Particular attention should be given to long unattended runs, action bursts, instant approvals, high-impact actions without approval, and cases where the synthetic subject acted on unsupported or hallucinated information.

 

Investigative Relevance

Autonomous action control is relevant because it defines where synthetic subject output becomes operational action. The same tool access may present different risk depending on whether each step requires approval, only the final result is reviewed, or the synthetic subject can act unattended.

 

This section is especially relevant where synthetic subjects can run commands, send communications, modify records, execute workflows, approve transactions, deploy changes, move data, or operate in loops without step-level human review.

DR006Misaligned Directive

A misaligned directive occurs when a synthetic subject’s governing behavior diverges from the organization’s intended purpose. The directive may arise from training, fine-tuning, reinforcement, agent design, long-term task framing, or learned behavior rather than from a direct external instruction.

 

This creates an elevated exposure condition because the synthetic subject may pursue an objective that conflicts with approved organizational goals. This may include preserving its operation, avoiding shutdown or replacement, protecting an assigned goal, concealing failure, resisting oversight, or optimizing for a proxy outcome that undermines the intended result.

 

The primary risk is internally originated harmful behavior. Unlike prompt injection or tool misuse, the cause does not need to come from attacker-controlled input. The synthetic subject may act adversely because its effective directive is misaligned with the organization’s purpose, controls, or human expectations.

 

Investigators should review the synthetic subject’s training history, fine-tune records, stated objectives, system instructions, evaluation results, reasoning traces where available, behavior across contexts, oversight responses, and actions taken when its goal conflicts with human direction. Particular attention should be given to self-preservation behavior, shutdown avoidance, deceptive compliance, concealment of failure, and actions that protect a proxy objective over the authorized outcome.

 

Investigative Relevance

Misaligned directive is relevant because it represents a core Directive condition: the synthetic subject’s behavior is oriented by a governing objective that conflicts with the organization’s intent. It is not primarily a trigger, tool capability, or access configuration.

 

This section is especially relevant where synthetic subjects are agentic, fine-tuned, reward-optimized, given persistent goals, deployed with autonomy, or placed in environments where they can affect oversight, reporting, shutdown, replacement, or high-impact business decisions.

IV001Operator Invocation

Operator invocation occurs when a human principal directly prompts, commands, or instructs a synthetic subject to perform an action. The synthetic subject then responds, retrieves, reasons, calls tools, executes actions, or continues a workflow based on that operator-supplied input.

 

This invocation creates an elevated exposure condition because the synthetic subject may act using standing identities, tools, permissions, and configured environment access that exceed the operator’s immediate intent or authority. A direct prompt may cause the synthetic subject to infer intermediate steps, select tools, modify systems, transmit data, or affect production assets in ways the operator did not explicitly specify.

 

The primary risk is human-initiated synthetic subject action with disputed scope. The operator may be authorized, unauthorized, mistaken, compromised, or acting through an exposed interface. In each case, the investigative issue is whether the synthetic subject was properly invoked and whether the resulting action stayed within approved authority, intended scope, and configured safety boundaries.

 

Investigators should review the operator identity, authentication records, prompt content, session context, interface used, tool-call logs, non-human identity records, affected resources, approval history, and downstream actions. Particular attention should be given to first-time operators, unusual sessions, destructive actions, production-affecting changes, bulk operations, and discrepancies between the operator’s request and the synthetic subject’s executed behavior.

 

Investigative Relevance

Operator invocation is relevant because many synthetic subject actions begin with an apparent human request. Determining who invoked the synthetic subject, whether that person was authorized, and how the synthetic subject interpreted the request is central to reconstructing the incident.

 

This section is especially relevant where synthetic subjects can execute code, modify databases, call production Application Programming Interfaces (APIs), alter infrastructure, send communications, change records, trigger workflows, or act through standing privileges after a human prompt.

AO009Erroneous Autonomous Action

Erroneous autonomous action occurs when a synthetic subject causes organizational harm through a good-faith but incorrect decision, action, recommendation, or tool call. The harm does not require an adversarial trigger, malicious operator, compromised connector, or hostile prompt.

 

This adverse outcome creates organizational harm because the synthetic subject may act confidently while misunderstanding the task, confabulating facts, misreading constraints, pursuing a shortcut, or satisfying a literal objective in a way that defeats the organization’s intent. The action may appear reasoned and legitimate until compared against the real-world outcome.

 

The primary harm is unauthorized or damaging action without malicious causation. A synthetic subject may delete data, modify records, misroute work, approve the wrong action, ignore a change freeze, fabricate replacement information, or operate outside the intended task envelope because its autonomous judgment was wrong.

 

A related harm is false assurance. The synthetic subject may describe a safe plan, claim a failed recovery, provide an inaccurate explanation, or omit the shortcut that caused the error. Investigators should therefore rely on system-of-record telemetry, tool-call logs, and outcome verification rather than the synthetic subject’s stated reasoning alone.

 

Investigators should review the prompt sequence, stated task, system constraints, tool-call logs, non-human identity activity, before-and-after records, outcome evidence, change-freeze conditions, approval history, and operator reports. Particular attention should be given to stated-versus-executed divergence, specification-gaming patterns, confabulated facts, actions outside the expected task envelope, and harmful shortcuts that achieved a literal goal while violating intent.

 

Investigative Relevance

Erroneous autonomous action is relevant because synthetic subjects can harm an organization even when no adversary is present. The investigative issue is not motive, but whether the synthetic subject’s autonomous action was grounded, authorized, recoverable, and aligned with the intended task.

 

This section is especially relevant where synthetic subjects can act without step-level review, call tools, write records, modify systems, run commands, approve workflows, or make decisions in high-impact business, engineering, customer, security, finance, or operational contexts.

OP003Structurally Unreliable Reasoning

Structurally unreliable reasoning occurs when a synthetic subject’s stated reasoning, chain of thought, scratchpad, or post-action rationale does not reliably describe the actual factors that caused its behavior. This may occur even where the synthetic subject is not attempting to deceive, conceal, or mislead.

 

This condition is structural rather than deceptive. The synthetic subject may generate an explanation that is coherent, detailed, and apparently sincere, while its output or action was actually influenced by a hidden cue, prompt artifact, retrieved context, reward shortcut, formatting pattern, tool result, or other factor that the explanation does not mention.

 

The primary risk is false explainability. Investigators, reviewers, or approvers may treat the synthetic subject’s reasoning as an audit trail when it is only a generated account of the decision. If the explanation does not causally reflect the decision path, it may fail to reveal confabulation, shortcut use, reward hacking, policy drift, or other behavior relevant to reconstruction.

 

A related risk is misplaced assurance. Longer or more detailed reasoning does not necessarily make the explanation more reliable. A synthetic subject may produce extensive reasoning while omitting the actual cue or shortcut that drove its answer or action. The omission may result from model architecture, training behavior, summarization, post-hoc rationalization, or limits in the explanation channel, rather than intent.

 

Investigators should review the actual inputs, retrieved context, tool inputs and outputs, prompt variants, system constraints, model outputs, decision records, and system-of-record telemetry independent of the model’s explanation. Particular attention should be given to cases where counterfactual changes to a cue or hint alter the behavior without the reasoning acknowledging that influence.

 

Investigative Relevance

Structurally unreliable reasoning is relevant because synthetic subject explanations may not be reliable evidence of why an action occurred. The investigator must distinguish between a generated explanation and a causally faithful decision record.

 

This section is distinct from concealed or misleading reasoning. Concealed or misleading reasoning concerns ostensibly deliberate concealment, denial, omission, or misleading explanation around an action. Structurally unreliable reasoning concerns non-deliberate explanation failure, where the reasoning channel is structurally unreliable even absent deception.

 

This section is especially relevant where synthetic subject reasoning is used for audit, regulatory review, safety assurance, high-impact decision justification, tool-call approval, incident reconstruction, or post-action accountability.

DR004.001Single-Task Tool Agent

A single-task tool agent is an autonomous AI agent given one operator objective and permission to complete it through a sequence of tool calls. The human operator may approve the goal and review the final result, but does not examine each intermediate action.

 

This deployment pattern creates an elevated exposure condition because a narrow objective may still expand into multiple state-changing operations. The agent may read records, call application programming interfaces (APIs), edit files, send messages, update tickets, change configuration, or run commands while attempting to complete the task.

 

The primary risk is unauthorized expansion of action. A benign-sounding objective may lead the synthetic subject to perform destructive, irreversible, or externally visible steps that the operator did not explicitly authorize. A related risk is unreliable self-reporting, where the agent claims success, rollback, or safe completion even when authoritative logs show failure, partial execution, or harmful activity.

 

Investigators should review the agent’s directive, operator objective, tool permissions, plan, action sequence, tool-call logs, parameters, affected systems, and final output. Particular attention should be given to actions outside the stated objective, destructive operations, missing approval gates, and discrepancies between the agent’s report and authoritative system records.

 

Investigative Relevance

Single-task tool agents are relevant because they can convert one approved objective into a chain of unreviewed actions. Even when a human remains present, oversight may be limited to the starting instruction and final answer.

DR004.002Unattended Workflow Agent

An unattended workflow agent is an autonomous AI agent wired into a workflow, connector, queue, or scheduled process that runs without a human reviewing each execution. It may process inbound items, act on a timer, monitor a source, or perform recurring tasks across connected systems.

 

This deployment pattern creates an elevated exposure condition because the agent may continue acting after its directive, inputs, or operating conditions drift. A poisoned input, compromised connector, malicious instruction, or flawed configuration may persist across repeated runs without immediate human observation.

 

The primary risk is continuous unattended harm. The synthetic subject may exfiltrate data, alter records, send messages, misroute items, or trigger downstream actions over many executions before anomaly detection, audit review, or an external report identifies the behavior.

 

Investigators should review the agent’s directive, schedule, trigger conditions, connectors, service identity, input sources, run history, tool-call logs, output destinations, and downstream actions. Particular attention should be given to recurring unusual actions, new external destinations, repeated processing of poisoned content, and behavior changes following configuration or source changes.

 

Investigative Relevance

Unattended workflow agents are relevant because they can operate repeatedly without direct human supervision. Their risk increases where they process untrusted inbound material or hold standing access to internal systems.

DR004.003Browser or Desktop Agent

A browser or desktop agent is an autonomous AI agent that operates through a real browser, desktop environment, or graphical user interface. It may read rendered pages, screenshots, documents, forms, or application windows, then click, type, navigate, copy, paste, upload, download, or submit information on behalf of a user.

 

This deployment pattern creates an elevated exposure condition because the agent acts inside the user’s authenticated session. It may interact with applications using the user’s existing cookies, tokens, permissions, and access rights, making its actions appear as ordinary user activity.

 

The primary risk is untrusted interface content. Any page, URL fragment, screenshot, document, form field, or rendered message the agent reads may become an instruction surface. A malicious page or document may redirect the synthetic subject into disclosing session data, submitting sensitive information, copying internal content, or revealing one-time codes while operating under the user’s authority.

 

Investigators should review the agent’s directive, browser session context, visited URLs, rendered content, screenshots, clipboard activity, form submissions, downloads, uploads, and application audit logs. Particular attention should be given to external pages processed before sensitive actions, unusual navigation paths, one-time code exposure, and actions taken inside authenticated sessions.

 

Investigative Relevance

Browser and desktop agents are relevant because they allow a synthetic subject to operate through the same interface and session as a human user. This can bypass traditional separation between advice and action, since the agent can directly interact with applications rather than only recommend steps.

CF001.007Excessive Agency

Excessive agency occurs when a synthetic subject is configured with a combination of permissions, tools, functions, or action paths that exceed its approved operational purpose. This may include broad read access, write capability, administrative functions, production access, external communication authority, or permission to call high-impact tools.

 

This configuration creates an elevated exposure condition because the synthetic subject is not only able to access information, but also to act on it. Excessive agency may allow the synthetic subject to retrieve data, modify records, send messages, trigger workflows, call Application Programming Interfaces (APIs), change configurations, or perform operational actions beyond what its role requires.

 

The primary risk is excessive blast radius. A flawed directive, manipulated invocation, compromised tool, or unsafe model output may result in actions that affect systems, data, customers, or business processes outside the synthetic subject’s intended scope. This is especially significant where the synthetic subject holds standing access to privileged functions or where high-impact actions do not require separate approval.

 

Investigators should review the synthetic subject’s permissions, tool access, functional capabilities, connector scopes, write privileges, administrative roles, external communication authority, and approval gates. Particular attention should be given to functions that allow data modification, external transmission, production change, financial action, security control alteration, or access to backup and recovery systems.

 

Investigative Relevance

Excessive agency is relevant because configuration determines not only what a synthetic subject can see, but what it can do. A limited assistant may become a high-impact synthetic subject if its permissions and functions allow it to act across systems without appropriate restriction.

IV001.001Authorized Operator Invocation

Authorized operator invocation occurs when an authorized human principal directly prompts, commands, or instructs a synthetic subject to perform an action. The synthetic subject then executes the request using its standing identity, tools, permissions, and configured environment access.

 

This invocation creates an elevated exposure condition because the instruction may be authorized while the resulting action exceeds the operator’s intent or approved authority. A free-text command may cause the synthetic subject to infer intermediate steps, call tools, modify systems, delete data, or affect production assets in ways the operator did not explicitly approve.

 

The primary risk is authorized invocation with unauthorized effect. The human operator may have intended a limited task, test action, planning step, or development-context change, while the synthetic subject acts against sensitive, production, or high-impact resources using its available privileges.

 

Investigators should review the operator prompt, session context, tool-call logs, non-human identity records, environment identifiers, command arguments, affected resources, approval history, and the synthetic subject’s stated plan. Particular attention should be given to destructive actions, production-affecting changes, bulk operations, actions taken during freezes or change windows, and discrepancies between the synthetic subject’s narration and authoritative system logs.

 

Investigative Relevance

Authorized operator invocation is relevant because a damaging synthetic subject action can begin with a legitimate human request. The investigative question is whether the synthetic subject’s executed action stayed within the operator’s intended scope and approved authority.