AI Application Security Controls Checklist
This comprehensive checklist provides a structured approach for implementing security controls in AI-based applications. Use this checklist during design, development, and deployment to ensure your application includes appropriate safeguards against common security vulnerabilities.
How to Use This Checklist
- Review each section during the relevant phase of development
- Consider each control's applicability to your specific application
- Implement appropriate controls based on your risk assessment
- Document your decisions and implementations
- Revisit the checklist periodically to ensure continued compliance
Model Selection and Configuration Controls
Model Selection
Safety Evaluation
- Assessed model safety capabilities and limitations
- Reviewed known vulnerabilities for selected model
- Compared safety benchmarks across candidate models
- Documented safety considerations in model selection
Capability Alignment
- Selected model with appropriate capabilities for use case
- Avoided over-provisioning of model capabilities
- Documented capability requirements and alignment
- Considered domain-specific model selection criteria
Transparency Assessment
- Evaluated model documentation transparency
- Assessed available information on training methodology
- Reviewed model provider security practices
- Documented transparency considerations
Model Configuration
Parameter Settings
- Configured appropriate temperature settings
- Set suitable maximum output length
- Adjusted top-p/top-k sampling parameters
- Documented security implications of parameter choices
System Instructions
- Implemented clear security boundaries in system instructions
- Included explicit safety guidelines
- Avoided unnecessary capabilities in instructions
- Tested instruction effectiveness against attack vectors
Format Configuration
- Specified expected output formats where appropriate
- Implemented structured output controls
- Configured appropriate response templates
- Tested format constraints against injection attempts
Input Processing Controls
Input Validation
Structure Validation
- Implemented schema validation for structured inputs
- Enforced length limits for user inputs
- Validated input formats and types
- Handled malformed inputs gracefully
Content Filtering
- Implemented pre-processing filters for prohibited content
- Deployed detection for known attack patterns
- Applied appropriate content policy restrictions
- Tested filters against common evasion techniques
Semantic Analysis
- Applied semantic classification to inputs where appropriate
- Implemented intent recognition for security purposes
- Deployed contextual input analysis
- Tested semantic analysis against adversarial inputs
Contextual Controls
Conversation History Management
- Implemented secure conversation state management
- Applied appropriate history length limitations
- Deployed conversation drift detection
- Tested against history manipulation attacks
Context Segmentation
- Separated system instructions from user inputs
- Implemented clear context boundaries
- Applied distinct security controls to different context segments
- Tested against context manipulation attacks
Multi-Turn Security
- Implemented security controls spanning multiple turns
- Deployed cumulative risk assessment
- Applied conversation-level security monitoring
- Tested against multi-turn attack patterns
Input Sanitization
Character Encoding Controls
- Implemented handling for special characters
- Applied unicode normalization where appropriate
- Deployed controls for homoglyph attacks
- Tested against encoding-based evasion techniques
Injection Prevention
- Implemented controls for prompt injection
- Applied delimiter enforcement
- Deployed instruction boundary protection
- Tested against various injection techniques
Multimodal Input Controls
- Implemented security for non-text inputs
- Applied appropriate cross-modal security
- Deployed consistent security across modalities
- Tested against multi-modal attack vectors
Output Processing Controls
Content Filtering
Policy Enforcement
- Implemented post-generation content filtering
- Applied consistent content policies
- Deployed appropriate severity thresholds
- Tested filter effectiveness and false positive rates
Sensitive Information Controls
- Implemented PII detection and filtering
- Applied controls for credential leakage
- Deployed prevention for unintended disclosures
- Tested against information extraction techniques
Output Classification
- Implemented classification of generated content
- Applied appropriate action based on classifications
- Deployed risk-based response handling
- Tested classification against adversarial outputs
Structural Validation
Format Verification
- Implemented validation of output format
- Applied schema checking for structured outputs
- Deployed format enforcement mechanisms
- Tested against format manipulation attacks
Syntax Verification
- Implemented appropriate syntax checking
- Applied language-specific validation
- Deployed controls for malformed outputs
- Tested against syntax-based attacks
Output Sanitization
- Implemented sanitization for downstream use
- Applied context-appropriate escaping
- Deployed protection for integration points
- Tested sanitization against bypass techniques
Behavioral Controls
Response Consistency
- Implemented consistency checking
- Applied coherence validation
- Deployed detection for behavioral anomalies
- Tested against manipulation of responses
Refusal Handling
- Implemented appropriate refusal mechanisms
- Applied consistent refusal policies
- Deployed user-friendly refusal messages
- Tested refusal consistency and effectiveness
Algorithmic Safety
- Implemented controls for harmful outputs
- Applied output safety scoring
- Deployed graduated response to risk levels
- Tested safety mechanisms against evasion techniques
System Integration Controls
Tool Use Security
Function Calling Security
- Implemented secure function calling patterns
- Applied parameter validation
- Deployed appropriate function access controls
- Tested against function call manipulation
Tool Access Control
- Implemented least privilege for tool access
- Applied contextual authorization
- Deployed separation of privileges
- Tested against privilege escalation attempts
Command Validation
- Implemented strict command validation
- Applied whitelisting for allowed operations
- Deployed syntax checking for commands
- Tested against command injection attacks
Data Access Controls
Data Access Limitations
- Implemented least privilege data access
- Applied appropriate data access scoping
- Deployed contextual data access controls
- Tested against unauthorized access attempts
Data Handling Security
- Implemented secure data retrieval patterns
- Applied data validation before processing
- Deployed secure data transformation
- Tested against data manipulation attacks
Integration Endpoint Security
- Implemented secure API integration
- Applied appropriate authentication and authorization
- Deployed input/output validation at boundaries
- Tested against boundary security bypasses
Environment Security
Execution Isolation
- Implemented appropriate sandboxing
- Applied resource limitations
- Deployed environment isolation
- Tested against isolation bypass attempts
Resource Protection
- Implemented resource usage limits
- Applied rate limiting and throttling
- Deployed protection against resource exhaustion
- Tested against resource manipulation attacks
Dependency Security
- Implemented secure dependency management
- Applied regular dependency updates
- Deployed dependency vulnerability scanning
- Tested for dependency-based vulnerabilities
Security Monitoring Controls
Detection Systems
Anomaly Detection
- Implemented behavioral baseline monitoring
- Applied statistical anomaly detection
- Deployed pattern-based detection
- Tested detection effectiveness against attacks
Attack Recognition
- Implemented known attack pattern detection
- Applied signature-based recognition
- Deployed heuristic detection mechanisms
- Tested against evasion techniques
Security Event Monitoring
- Implemented comprehensive security logging
- Applied real-time security event monitoring
- Deployed appropriate alerting thresholds
- Tested end-to-end monitoring effectiveness
Logging and Auditing
Input Logging
- Implemented secure input logging
- Applied appropriate log retention
- Deployed privacy-preserving logging
- Tested logging integrity
Processing Logging
- Implemented key decision logging
- Applied appropriate context capture
- Deployed traceable processing logs
- Tested log completeness for investigation
Output Logging
- Implemented secure output logging
- Applied appropriate output retention
- Deployed response tracking
- Tested output log usability for analysis
Response Mechanisms
Automated Responses
- Implemented graduated response mechanisms
- Applied appropriate response thresholds
- Deployed automated countermeasures
- Tested response effectiveness
Alert Management
- Implemented clear alerting processes
- Applied appropriate escalation procedures
- Deployed alert prioritization
- Tested alert handling workflow
Investigation Support
- Implemented forensic data collection
- Applied appropriate investigative tools
- Deployed incident timeline reconstruction
- Tested investigative capabilities
Security Management Controls
Policy and Governance
Security Policies
- Implemented comprehensive security policies
- Applied appropriate policy enforcement
- Deployed policy management processes
- Tested policy effectiveness
Risk Assessment
- Implemented regular risk assessment
- Applied appropriate risk treatment
- Deployed risk monitoring processes
- Tested risk assessment accuracy
Compliance Management
- Implemented relevant compliance controls
- Applied appropriate compliance monitoring
- Deployed compliance reporting
- Tested compliance with requirements
Incident Management
Incident Response Planning
- Implemented incident response procedures
- Applied appropriate role assignments
- Deployed communication protocols
- Tested incident response effectiveness
Containment Procedures
- Implemented incident containment measures
- Applied appropriate isolation procedures
- Deployed impact limitation strategies
- Tested containment effectiveness
Recovery Processes
- Implemented secure recovery procedures
- Applied appropriate return-to-operation criteria
- Deployed post-incident verification
- Tested recovery processes
Continuous Improvement
Security Testing
- Implemented regular security testing
- Applied appropriate test coverage
- Deployed automated security scanning
- Tested security control effectiveness
Vulnerability Management
- Implemented vulnerability tracking
- Applied appropriate remediation prioritization
- Deployed patch management processes
- Tested vulnerability resolution effectiveness
Security Metrics
- Implemented security performance metrics
- Applied appropriate measurement processes
- Deployed security reporting
- Tested metrics for actionable insights
Specialized Security Controls
User Authentication and Authorization
Identity Verification
- Implemented appropriate identity verification
- Applied multi-factor authentication where appropriate
- Deployed secure session management
- Tested against authentication bypass techniques
Authorization Controls
- Implemented granular authorization
- Applied principle of least privilege
- Deployed contextual access controls
- Tested against privilege escalation attempts
User Management
- Implemented secure user onboarding/offboarding
- Applied appropriate access reviews
- Deployed user activity monitoring
- Tested user lifecycle security
Privacy Controls
Data Minimization
- Implemented minimal data collection
- Applied appropriate data retention limits
- Deployed purpose limitation controls
- Tested data minimization effectiveness
Consent Management
- Implemented appropriate consent mechanisms
- Applied consent tracking
- Deployed preference management
- Tested consent workflow effectiveness
De-identification Controls
- Implemented PII detection and protection
- Applied appropriate anonymization/pseudonymization
- Deployed re-identification risk controls
- Tested privacy protection effectiveness
Domain-Specific Controls
Industry-Specific Controls
- Implemented relevant domain-specific controls
- Applied appropriate regulatory requirements
- Deployed industry best practices
- Tested domain-specific security effectiveness
Use Case Security
- Implemented security controls specific to use case
- Applied appropriate risk treatment
- Deployed contextual security measures
- Tested use case security effectiveness
Special Data Handling
- Implemented controls for sensitive data categories
- Applied appropriate special category protections
- Deployed enhanced security for high-risk data
- Tested special data handling effectiveness
Deployment Controls
Environment Security
Infrastructure Security
- Implemented secure infrastructure configuration
- Applied appropriate network security
- Deployed infrastructure monitoring
- Tested infrastructure security effectiveness
Access Controls
- Implemented principle of least privilege
- Applied separation of duties
- Deployed just-in-time access where appropriate
- Tested access control effectiveness
Secrets Management
- Implemented secure API key management
- Applied appropriate secrets rotation
- Deployed secure credential storage
- Tested secrets handling security
Deployment Pipeline
Security Testing Integration
- Implemented automated security testing in pipeline
- Applied appropriate security gates
- Deployed vulnerability scanning
- Tested security testing effectiveness
Deployment Verification
- Implemented secure deployment verification
- Applied appropriate integrity checks
- Deployed post-deployment testing
- Tested verification effectiveness
Rollback Capability
- Implemented secure rollback procedures
- Applied appropriate trigger criteria
- Deployed rollback testing
- Tested rollback effectiveness
Operational Security
Monitoring Integration
- Implemented operational security monitoring
- Applied appropriate alert thresholds
- Deployed monitoring dashboards
- Tested monitoring effectiveness
Incident Response Integration
- Implemented operational incident response
- Applied appropriate escalation procedures
- Deployed incident handling playbooks
- Tested incident response effectiveness
Performance Monitoring
- Implemented performance monitoring
- Applied detection of security-relevant degradation
- Deployed resource utilization monitoring
- Tested adverse performance detection
Business Continuity Controls
Backup and Recovery
Conversation State Backup
- Implemented appropriate conversation backup
- Applied secure backup storage
- Deployed regular backup testing
- Tested recovery from backups
Configuration Backup
- Implemented configuration backup
- Applied version control for configurations
- Deployed secure configuration storage
- Tested configuration restoration
Recovery Testing
- Implemented regular recovery testing
- Applied realistic recovery scenarios
- Deployed recovery time measurement
- Tested recovery completeness
High Availability
Resilient Architecture
- Implemented appropriate redundancy
- Applied failure domain isolation
- Deployed graceful degradation capabilities
- Tested system resilience
Failover Mechanisms
- Implemented automatic failover
- Applied appropriate failover triggers
- Deployed failover testing
- Tested failover effectiveness
Load Management
- Implemented appropriate load balancing
- Applied overload protection
- Deployed load testing
- Tested load management effectiveness
Security Continuity
Security Fallback Modes
- Implemented secure fallback modes
- Applied appropriate fallback triggers
- Deployed fallback testing
- Tested fallback security effectiveness
Degraded Mode Security
- Implemented security in degraded operation
- Applied appropriate security prioritization
- Deployed security-aware degradation
- Tested degraded mode security
Recovery Security
- Implemented secure recovery procedures
- Applied security verification during recovery
- Deployed post-recovery security checks
- Tested recovery security effectiveness
Documentation Controls
Security Documentation
Security Architecture Documentation
- Documented security architecture
- Applied appropriate detail level
- Deployed documentation management
- Tested documentation accuracy
Control Documentation
- Documented implemented security controls
- Applied appropriate control descriptions
- Deployed control documentation management
- Tested documentation completeness
Configuration Documentation
- Documented security configurations
- Applied appropriate configuration detail
- Deployed configuration documentation management
- Tested documentation accuracy
Security Procedures
Operational Procedures
- Documented security operations procedures
- Applied appropriate procedural detail
- Deployed procedure management
- Tested procedure effectiveness
Incident Response Procedures
- Documented incident response procedures
- Applied appropriate procedural clarity
- Deployed procedure accessibility
- Tested procedure usability
Recovery Procedures
- Documented recovery procedures
- Applied appropriate recovery detail
- Deployed procedure availability during incidents
- Tested procedure effectiveness
User Documentation
Security Guidelines
- Documented user security guidelines
- Applied appropriate guideline clarity
- Deployed guideline distribution
- Tested guideline effectiveness
Security Awareness Materials
- Documented security awareness information
- Applied appropriate awareness focus
- Deployed awareness material distribution
- Tested awareness effectiveness
Security Feature Documentation
- Documented security features for users
- Applied appropriate feature explanation
- Deployed feature documentation access
- Tested documentation usability
Third-Party Integration Controls
Vendor Security
Vendor Assessment
- Implemented vendor security assessment
- Applied appropriate assessment criteria
- Deployed vendor risk management
- Tested assessment effectiveness
Integration Security
- Implemented secure integration patterns
- Applied appropriate integration controls
- Deployed integration monitoring
- Tested integration security
Vendor Access Management
- Implemented vendor access controls
- Applied appropriate access limitations
- Deployed vendor access monitoring
- Tested access control effectiveness
API Security
API Authentication
- Implemented secure API authentication
- Applied appropriate authentication strength
- Deployed authentication monitoring
- Tested authentication security
API Authorization
- Implemented API authorization controls
- Applied appropriate permission granularity
- Deployed authorization monitoring
- Tested authorization effectiveness
API Input/Output Validation
- Implemented API input validation
- Applied API output validation
- Deployed API security monitoring
- Tested validation effectiveness
External Data Security
Data Transfer Security
- Implemented secure data transfer
- Applied appropriate encryption
- Deployed transfer monitoring
- Tested transfer security
External Data Validation
- Implemented external data validation
- Applied appropriate validation rules
- Deployed validation logging
- Tested validation effectiveness
Data Integration Security
- Implemented secure data integration
- Applied appropriate data transformation security
- Deployed integration monitoring
- Tested integration security
Compliance Controls
Regulatory Compliance
Applicable Regulations
- Identified applicable regulations
- Applied appropriate compliance controls
- Deployed compliance monitoring
- Tested regulatory compliance
Compliance Documentation
- Implemented compliance documentation
- Applied appropriate documentation detail
- Deployed documentation management
- Tested documentation completeness
Compliance Reporting
- Implemented compliance reporting
- Applied appropriate reporting requirements
- Deployed reporting processes
- Tested reporting effectiveness
Industry Standards
Standard Identification
- Identified applicable standards
- Applied appropriate standard controls
- Deployed standards compliance monitoring
- Tested standards compliance
Best Practice Alignment
- Implemented industry best practices
- Applied appropriate practice selection
- Deployed best practice monitoring
- Tested best practice effectiveness
Standard Documentation
- Documented standards compliance
- Applied appropriate documentation detail
- Deployed documentation management
- Tested documentation completeness
Audit Support
Audit Readiness
- Implemented audit preparation procedures
- Applied appropriate evidence collection
- Deployed audit support resources
- Tested audit readiness
Audit Trail
- Implemented comprehensive audit trails
- Applied appropriate audit detail
- Deployed audit log management
- Tested audit trail completeness
Evidence Collection
- Implemented evidence collection processes
- Applied appropriate evidence preservation
- Deployed evidence management
- Tested evidence usability
Security Improvement Controls
Vulnerability Management
Vulnerability Identification
- Implemented vulnerability discovery processes
- Applied appropriate scanning frequency
- Deployed vulnerability reporting
- Tested identification effectiveness
Vulnerability Assessment
- Implemented vulnerability risk assessment
- Applied appropriate prioritization
- Deployed vulnerability tracking
- Tested assessment accuracy
Remediation Management
- Implemented remediation processes
- Applied appropriate remediation timelines
- Deployed remediation verification
- Tested remediation effectiveness
Security Testing
Penetration Testing
- Implemented regular penetration testing
- Applied appropriate test coverage
- Deployed test finding management
- Tested security improvement
Security Scanning
- Implemented automated security scanning
- Applied appropriate scan frequency
- Deployed scan result management
- Tested scanning effectiveness
Red Team Exercises
- Implemented adversarial testing
- Applied appropriate scenario development
- Deployed finding management
- Tested exercise effectiveness
Continuous Improvement
Security Metrics
- Implemented security performance metrics
- Applied appropriate measurement
- Deployed metric analysis
- Tested metric actionability
Feedback Integration
- Implemented security feedback collection
- Applied appropriate feedback analysis
- Deployed improvement prioritization
- Tested feedback effectiveness
Knowledge Sharing
- Implemented security knowledge sharing
- Applied appropriate information distribution
- Deployed learning integration
- Tested knowledge utilization
How to Prioritize Security Controls
When implementing security controls, prioritize based on:
- Risk Level: Address high-risk vulnerabilities first
- Implementation Complexity: Balance quick wins with complex controls
- Resource Requirements: Consider available resources for implementation
- Compliance Requirements: Prioritize mandatory compliance controls
- Business Impact: Consider controls with significant business protection
Risk-Based Prioritization Matrix
| Risk Level | Implementation Difficulty | Priority Level |
|---|---|---|
| High | Low | 1 - Immediate |
| High | Medium | 2 - Very High |
| High | High | 3 - High |
| Medium | Low | 4 - High |
| Medium | Medium | 5 - Medium |
| Medium | High | 6 - Medium |
| Low | Low | 7 - Medium |
| Low | Medium | 8 - Low |
| Low | High | 9 - Very Low |
Control Implementation Lifecycle
For each security control, follow this implementation lifecycle:
- Assessment: Evaluate applicability and priority
- Design: Create detailed implementation design
- Implementation: Deploy the control
- Testing: Verify control effectiveness
- Monitoring: Continuously monitor performance
- Improvement: Regularly enhance and update
Conclusion
This checklist provides a comprehensive framework for implementing security controls in LLM applications. While not every control will be necessary for every application, this structured approach ensures you consider the full spectrum of security measures during development and deployment.
Remember that security is an ongoing process rather than a one-time implementation. Regularly revisit this checklist to ensure your security controls remain effective as your application and the threat landscape evolve.
Additional Resources
For additional guidance on implementing these controls, refer to: