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Control 3.10: Hallucination Feedback Loop - Verification & Testing

This playbook provides verification and testing procedures for Control 3.10.

Verification Steps

1. Feedback Collection

  • Test thumbs down on agent response
  • Verify feedback captured in system
  • Confirm categorization form appears

2. Tracking Workflow

  • Submit test hallucination report
  • Verify item created in tracking list
  • Confirm assignment and SLA timer

3. Remediation Process

  • Complete test remediation
  • Verify status updates correctly
  • Confirm resolution documented

4. Trend Reporting

  • Generate test trend report
  • Verify metrics calculate correctly
  • Confirm dashboard displays data

Compliance Checklist

Item Required For Status
Feedback enabled on all agents Quality management
Taxonomy documented Consistent categorization
Tracking system operational FINRA 3110 (supervisory review)
Automated workflows active Response SLA
Trend reporting configured Continuous improvement
Evidence retention (6+ years) SEC 17a-4

Test Cases

Test Case 1: Feedback Capture

Objective: Verify feedback flows to tracking

Steps:

  1. Submit thumbs down on agent response
  2. Select hallucination category
  3. Verify tracking item created
  4. Check all fields populated

Expected Result: Feedback captured with context

Test Case 2: Critical Escalation

Objective: Verify critical issues escalate

Steps:

  1. Report critical hallucination
  2. Verify incident created (Control 3.4)
  3. Confirm compliance notification
  4. Check agent flagged for review

Expected Result: Critical path followed

Test Case 3: Trend Alert

Objective: Verify trend detection works

Steps:

  1. Submit multiple reports for one agent
  2. Exceed 5% threshold
  3. Verify trend alert triggers
  4. Check agent flagged

Expected Result: Alert generated at threshold

Test Case 4: MTTR Calculation

Objective: Verify resolution time tracking

Steps:

  1. Create test issue
  2. Resolve issue after known interval
  3. Verify resolution date captured
  4. Check MTTR calculates correctly

Expected Result: Accurate MTTR metric

Evidence Collection

For audits, collect:

  • Feedback configuration screenshots
  • Hallucination tracking list export
  • Trend reports (monthly)
  • Remediation completion records
  • SLA compliance metrics

Next Steps

Updated: January 2026 | Version: v1.2