1. Executive Summary
This is not content moderation.
This is end-to-end AI interaction control.
2. Where AI Risk Actually Begins
2.1 The Flawed Assumption in Traditional AI Governance
Most AI governance frameworks assume risk begins when:
A model generates output
A tool retrieves sensitive data
A backend moderation service flags content
This assumption is incorrect.
2.2 Intent as the Primary Risk Surface
AI risk begins at the moment human intent is expressed, including:
Typed chat messages
Voice input
Streaming drafts
Uploaded documents
Agent instructions
Enterprise chat messages
API-triggered workflows
Cortx Guardrails are designed to stop risk before this intent crosses any system boundary.
3. The Cortx Guardrails Architecture
3.1 Defense-in-Depth Model
Invariant: No inbound content — regardless of source — can reach an agent, tool, or model without passing through guardrails.
| Layer | Purpose | Coverage |
|---|---|---|
| Client-Side Guardrails | Stop sensitive data at intent | Web, voice, files |
| Channel Middleware Guardrails | Protect messaging platforms | Teams, Slack, APIs |
| Prompt Guardrails | Instruction governance | Agent prompts |
| Tool & Retrieval Guardrails | Authorization enforcement | DBs, APIs, RAG |
| Model Boundary Guardrails | LLM-aware controls | Public vs private |
| Response Guardrails | Output safety | AI responses |
3.2 Unified Control Plane
Ingress Sources
Web & mobile clients
Voice interfaces
File uploads
Microsoft Teams & Slack
API-triggered workflows
All inbound intent flows through the same policies, detection logic, and audit pipeline, ensuring deterministic enforcement.
4. Layer 1 – Client-Side Guardrails
Intercepted at this layer:
Typed and pasted text
Streaming drafts
Voice transcripts before transmission
Files before upload
Performance Characteristics
| Operation | Latency | Memory |
|---|---|---|
| ML Model Load | 2–5s (one-time) | ~420MB |
| ML Inference | 100–200ms | Minimal |
| Rule-Based Scan | <5ms | <1MB |
| Streaming Analysis | <50ms | <10MB |
| File Scan (1MB) | <500ms | Minimal |
5. Layer 2 – Channel Middleware Guardrails
Cortx middleware guardrails enforce the same policies for:
Microsoft Teams
Slack
Webhooks
API-driven events
Messages, attachments, edits, and context are inspected before any AI invocation.
6. Layer 3 – Prompt Guardrails
Before prompts are saved or executed, they are:
Validated against policy
Checked for prohibited intent
Evaluated for role-based authorization
Audited for compliance restrictions
Agents are constrained executors of user intent.
7. Layer 4 – Tool & Retrieval Guardrails
Tools never act independently.
Every tool invocation is evaluated using:
User identity
Role and group membership
Workspace scope
Tool-specific policy
Retrieval pipelines enforce:
Least-privilege data access
Row- and column-level filtering
Redaction or summarization
8. Layer 5 – Model Boundary Guardrails
Public vs Private LLM Risk
| Model Type | Risk Profile | Data Handling |
|---|---|---|
| On-Prem / Private LLM | Controlled | Rich context allowed |
| VPC-Hosted LLM | Restricted | Limited context |
| Public SaaS LLM | High | Masked or summarized only |
Cortx dynamically adjusts:
Context depth
Masking rules
Retrieval scope
Model eligibility
Public models never receive regulated data unless explicitly permitted.
9. Layer 6 – Response Guardrails
Auto-Redaction
Before responses are delivered, Cortx scans outputs to detect:
Echoed sensitive inputs
Hallucinated identifiers
Prohibited claims
Actions include:
Redaction
Rewriting
Warning annotation
Full blocking
10. Advanced Detection Capabilities
Context-Aware Detection
Cortx evaluates conversation history, enabling:
Test vs production intent detection
Placeholder recognition
Reduced false positives
Adaptive risk scoring
11. Auditability & Compliance
11.1 Tamper-Resistant Audit Trail
Every decision generates an immutable audit event containing:
Event ID
Timestamp (ms precision)
User & session identity
Channel
Detected patterns
Decision
Override justification (if any)
11.2 Tamper Detection
Audit records are secured using SHA-256 hashing.
Any modification is cryptographically detectable.
11.3 Export Capabilities
Audit logs can be exported as:
CSV (compliance officers)
JSON (SIEM & automation)
No sensitive content is centrally stored.
12. Regulatory Alignment
Compliance Mapping
Cortx Guardrails support:
SEC Rule 10b-5
SEC Reg FD
FINRA 5320 & 2210
GLBA
HIPAA
GDPR / CPRA / PIPEDA
SOC 2 Type II
PCI DSS
Each regulation maps to explicit technical controls.
13. User Experience Controls
13.1 Remember Preferences
14. Integration & Extensibility
14.1 API Integration
bash
POST /api/guardrails/scan
{
“text”: “Message to analyze”,
“channel”: “api”,
“userId”: “user123”,
“context”: [“Previous message”]
}
14.2 Custom Pattern Addition
Enterprises can define:
Regex patterns
Keywords
Contextual rules
Severity levels
Channel-specific enforcement
14.3 Policy Customization
Configurable controls include:
Block / warn thresholds
Mandatory vs optional rules
Role-based policies
Channel-specific enforcement
15. Performance & Scalability
Latency Benchmarks
| Operation | P50 | P95 | P99 |
|---|---|---|---|
| Client Scan | 2ms | 5ms | 10ms |
| ML Inference | 100ms | 180ms | 220ms |
| File Scan | 300ms | 480ms | 650ms |
| Batch (100 msgs) | 150ms | 280ms | 400ms |
16. Deployment & Rollout
Implementation Timeline
Weeks 1–2: Policy design & planning
Weeks 3–4: Pilot deployment
Weeks 5–6: Expansion & tuning
Weeks 7–8: Full rollout
Week 9+: Optimization & audits