# SPC-04 Policy alignment testing

Domain: SPC Agent Specification & Pre-Deployment Assurance · HI-AAF v1.3 · Public review · https://humanintel.net/standard/spc/spc-04

Policy alignment testing confirms the agent refuses out-of-scope, prohibited, and adversarial requests in line with the Behavior Charter.

The agent is tested specifically against the negative-behavior and escalation-behavior sections of its Behavior Charter. Policy alignment testing confirms the agent refuses out-of-scope requests, rejects prohibited actions, and escalates appropriately when faced with adversarial inputs designed to push it outside its operating envelope.

## Maturity

- L1 Ad hoc: Controls exist informally; documentation is incomplete; no consistent review.
- L2 Documented: Controls are written down; ownership is assigned; review cadence is defined.
- L3 Operated: Controls are followed in practice; evidence is collected; deviations are tracked. Published criterion for SPC-04: Policy alignment test suite exists and covers all prohibited and escalation categories defined in the Behavior Charter; results are recorded; failures are tracked through remediation.
- L4 Measured: Control effectiveness is measured against documented thresholds; trends are reported.
- L5 Continuously Improved: Controls evolve based on incident learning; maturity gains are evidenced over time.

## Evidence an assessor asks for

- Policy alignment test suite exists and covers all prohibited and escalation categories defined in the Behavior Charter.
- Results are recorded.
- Failures are tracked through remediation.

## Framework mappings

- NIST AI RMF: MEASURE 2.6
- ISO/IEC 42001: A.6.2.4
- SOC 2 (TSC): CC5.2
- EU AI Act: Art. 9(7)
- Singapore: MAIGF Testing & Assurance, AI Verify Safety

Mappings are directional: meeting this control evidences but does not by itself satisfy the external requirement.

## Cite this control

Human Intelligence. HI-AAF v1.3, SPC-04 Policy alignment testing. Public review edition, July 2026. https://humanintel.net/standard/spc/spc-04