Troubleshooting: Control 2.12 - Supervision and Oversight
Last Updated: January 2026
Common Issues
| Issue | Cause | Resolution |
|---|---|---|
| HITL not triggering | Topic not configured | Add review requirement to topic |
| Review queue backed up | Insufficient reviewers | Add more designated principals |
| Evidence not captured | Logging flow broken | Verify Power Automate flow |
| Principal not available | Scheduling conflict | Ensure backup supervisors |
Detailed Troubleshooting
Issue: HITL Not Triggering
Symptoms: Agent sends responses without supervisor review
Resolution:
- Verify generative answers review is enabled
- Check topic configuration for review requirement
- Verify user is accessing Zone 3 agent
- Test with explicit high-risk prompt
Issue: Review Queue Backed Up
Symptoms: Reviews pending longer than SLA
Resolution:
- Add additional designated principals
- Implement escalation for SLA breach
- Review sampling rates (may be too aggressive)
- Automate low-risk approvals where appropriate
Issue: Evidence Retention Requirements Not Met
Symptoms: Audit requests for historical supervision records cannot be fulfilled
Resolution:
- Verify SharePoint retention policies applied to supervision logs
- Check Power Automate flow is writing to correct location
- Ensure immutable storage configured for regulatory retention
- Implement FINRA 4511 retention label (6 years minimum)
Issue: Supervisor Review Audit Trail Incomplete
Symptoms: Unable to demonstrate who approved specific agent responses
Resolution:
- Verify Power Automate captures reviewer identity (UPN) on each approval
- Check that timestamp includes timezone information
- Ensure approval metadata includes agent ID and conversation ID
- Cross-reference with Unified Audit Log for completeness
Escalation Path
- Compliance Officer - WSP requirements
- Designated Principal - Review decisions
- AI Governance Lead - Configuration issues
- CISO - SLA breaches
Known Limitations
| Limitation | Impact | Workaround |
|---|---|---|
| No native HITL analytics | Manual reporting | Build Power BI dashboard |
| Real-time review challenging | May slow responses | Balance sampling vs. risk |
| FINRA-specific requirements | Must customize | Document WSP thoroughly |
| Multiple agent channels | Complex supervision | Standardize review process |
Back to Control 2.12 | Portal Walkthrough | PowerShell Setup | Verification Testing