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§ I · Domain GOV · Control 3 of 12
Control
GOV-03
Edition
v.1.3
Status
Public review

GOV · Governance & Accountability

GOV-03Agent Risk Register

An Agent Risk Register is maintained, scoring each agent on impact and likelihood, reviewed at least quarterly by accountable leadership.

The risk register captures, for each agent, the categories of harm the agent could cause, the likelihood and severity of those harms, the controls applied to reduce them, and the residual risk accepted by the risk owner. It is reviewed at a documented cadence, at least quarterly, by leadership with authority to accept, escalate, or remediate risks.

Table GOV-03.1 · Maturity criteria · v.1.3

L1 to L5 · the lowest level in scope caps the agent
L1Ad hoc

Controls exist informally; documentation is incomplete; no consistent review.

L2Documented

Controls are written down; ownership is assigned; review cadence is defined.

L3Operated

Controls are followed in practice; evidence is collected; deviations are tracked.

Risk register is current within the documented cadence; entries include impact scores, likelihood ratings, and residual risk acceptance; review evidence is retained with sign-off records.

L4Measured

Control effectiveness is measured against documented thresholds; trends are reported.

L5Continuously Improved

Controls evolve based on incident learning; maturity gains are evidenced over time.

The v1.3 edition publishes a control-specific criterion at L3 (Operated). The other levels apply the general ladder to this control; see the maturity ladder.

Evidence an assessor asks for

  1. E.1

    Risk register is current within the documented cadence.

  2. E.2

    Entries include impact scores, likelihood ratings, and residual risk acceptance.

  3. E.3

    Review evidence is retained with sign-off records.

Table GOV-03.2 · Framework mappings

5 of 7 frameworks carry a control-level reference
NIST AI RMFGOVERN 1.1NIST AI Risk Management Framework 1.0
ISO/IEC 420015.2, A.2.1ISO/IEC 42001:2023 · Artificial intelligence management system
OWASP LLM Top 10·OWASP Top 10 for Large Language Model Applications
SOC 2 (TSC)CC1.1, CC1.2AICPA Trust Services Criteria for SOC 2 Type II
EU AI ActArt. 9(2)EU AI Act · Regulation (EU) 2024/1689
MITRE ATLAS·MITRE ATLAS · Adversarial Threat Landscape for AI Systems
SingaporeMAIGF Internal GovernanceSingapore Model AI Governance Framework / AI Verify / PDPA

Mappings are directional: meeting this control evidences but does not by itself satisfy the external requirement. A middle dot means no control-level reference is published at this edition; see the crosswalk.

Related controls and terms

Cite this control

Human Intelligence. HI-AAF v1.3, GOV-03 Agent Risk Register. Public review edition, July 2026. https://humanintel.net/standard/gov/gov-03

Edition v.1.3 · July 2026 · Public review · Markdown · PDF

https://humanintel.net/standard/gov/gov-03

Notice

HI-AAF v1.3 is an independent framework published by Human Intelligence. It is not affiliated with NIST, ISO, AICPA, or any government or accreditation body. The framework is offered openly for review during the current draft cycle.