v0.1.0

AI Control Requirements Mapping Template

This template is used to map an AI use case to the applicable AI Control Architecture requirements.

The purpose is to create traceability between:

  • AI risk tier
  • AI control pillars
  • control objectives
  • functional requirements
  • non-functional requirements
  • implementation controls
  • evidence
  • assurance testing
  • exceptions
  • ownership

This template helps ensure that AI controls are not applied informally or inconsistently.

1. Mapping Information

AI Use Case Name

[Enter AI use case name]

Mapping ID

[Enter mapping ID]

Date

[Enter date]

Prepared By

Name:
Function:
Email:

Business Owner

Name:
Function:
Email:

Technical Owner

Name:
Function:
Email:

2. AI Use Case Summary

Short Description

[Describe the AI use case]

AI Pattern

Select all that apply:

[ ] Copilot
[ ] Internal LLM application
[ ] RAG system
[ ] AI-enabled SaaS
[ ] Embedded vendor AI
[ ] Agent
[ ] AI-enabled workflow automation
[ ] Customer-facing AI
[ ] Employee-facing AI
[ ] Developer AI tool
[ ] Security operations AI
[ ] Decision-supporting AI
[ ] Action-capable AI
[ ] Other

Assigned Risk Tier

Select one:

[ ] Tier 1: Low-risk productivity or public-data use
[ ] Tier 2: Internal productivity with enterprise data
[ ] Tier 3: Decision-supporting AI
[ ] Tier 4: Action-capable AI
[ ] Tier 5: High-impact autonomous or regulated AI

Highest Risk Drivers

Select all that apply:

[ ] Sensitive data
[ ] Regulated data
[ ] Personal data
[ ] Customer impact
[ ] Employee impact
[ ] Financial impact
[ ] Legal or compliance impact
[ ] Security impact
[ ] Production impact
[ ] Decision influence
[ ] Tool/action capability
[ ] Agentic autonomy
[ ] External exposure
[ ] Vendor dependency
[ ] Low recoverability
[ ] Weak evidence
[ ] Unknown risk

3. Requirement Applicability Summary

Pillar Applicable? Priority Notes
AI inventory and classification [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
AI identity and access control [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Data boundary control [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Prompt and input control [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Output and decision control [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Tool and action control [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Human accountability model [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
AI assurance and testing [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Monitoring, logging, and evidence [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]
Incident containment and recovery [Yes/No/Partial] [Low/Medium/High/Critical] [Notes]

4. Pillar 1: AI Inventory and Classification Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
AIC-FR-001 Maintain an enterprise AI inventory. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-002 Register AI use cases. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-003 Identify embedded vendor AI. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-004 Assign AI ownership. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-005 Classify AI risk. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-006 Track AI lifecycle status. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-007 Map AI to business processes. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-008 Detect unmanaged AI. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-009 Review AI inventory periodically. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIC-FR-010 Link inventory to control requirements. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document inventory and classification notes, gaps, assumptions, or exceptions]

5. Pillar 2: AI Identity and Access Control Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
AIAC-FR-001 Identify AI actors. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-002 Define AI identity model. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-003 Define delegated authority. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-004 Enforce least privilege. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-005 Separate AI-mediated activity. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-006 Approve AI access. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-007 Review AI access periodically. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-008 Revoke AI access. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-009 Control privileged AI access. [Yes/No] [Control] [Owner] [Evidence] [Status]
AIAC-FR-010 Maintain AI access evidence. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document identity and access notes, gaps, assumptions, or exceptions]

6. Pillar 3: Data Boundary Control Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
DBC-FR-001 Map AI data sources. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-002 Apply data classification. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-003 Enforce retrieval boundaries. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-004 Restrict sensitive data exposure. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-005 Define training and reuse restrictions. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-006 Define retention requirements. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-007 Prevent data leakage through outputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-008 Preserve sensitivity context. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-009 Control cross-boundary data movement. [Yes/No] [Control] [Owner] [Evidence] [Status]
DBC-FR-010 Monitor AI data access. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document data boundary notes, gaps, assumptions, or exceptions]

7. Pillar 4: Prompt and Input Control Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
PIC-FR-001 Define allowed AI inputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-002 Define prohibited AI inputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-003 Validate high-risk inputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-004 Protect system prompts. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-005 Manage prompt injection risk. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-006 Isolate context. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-007 Control external inputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-008 Log prompts and inputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-009 Manage prompt changes. [Yes/No] [Control] [Owner] [Evidence] [Status]
PIC-FR-010 Detect input policy violations. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document prompt and input notes, gaps, assumptions, or exceptions]

8. Pillar 5: Output and Decision Control Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
ODC-FR-001 Classify AI output types. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-002 Define validation rules. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-003 Separate AI recommendations from decisions. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-004 Control downstream use. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-005 Capture AI-assisted decision evidence. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-006 Define prohibited output uses. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-007 Manage output uncertainty. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-008 Review customer-facing outputs. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-009 Control generated records. [Yes/No] [Control] [Owner] [Evidence] [Status]
ODC-FR-010 Monitor output quality. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document output and decision notes, gaps, assumptions, or exceptions]

9. Pillar 6: Tool and Action Control Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
TAC-FR-001 Inventory AI-accessible tools. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-002 Classify AI actions by risk. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-003 Approve tool access. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-004 Enforce action boundaries. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-005 Require approval for high-risk actions. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-006 Limit autonomous execution. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-007 Log tool calls and actions. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-008 Provide kill switches. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-009 Define rollback or compensation. [Yes/No] [Control] [Owner] [Evidence] [Status]
TAC-FR-010 Monitor abnormal tool use. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document tool and action notes, gaps, assumptions, or exceptions]

10. Pillar 7: Human Accountability Model Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
HAM-FR-001 Assign business owners. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-002 Assign technical owners. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-003 Define decision owners. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-004 Define human review model. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-005 Define approval gates. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-006 Define escalation paths. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-007 Define override rights. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-008 Capture accountability evidence. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-009 Define exception ownership. [Yes/No] [Control] [Owner] [Evidence] [Status]
HAM-FR-010 Prevent vendor or model accountability gaps. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document human accountability notes, gaps, assumptions, or exceptions]

11. Pillar 8: AI Assurance and Testing Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
AAT-FR-001 Define assurance requirements by risk tier. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-002 Perform pre-deployment testing. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-003 Test prompt injection risk. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-004 Test data leakage risk. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-005 Test output integrity. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-006 Test tool and action misuse. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-007 Test control effectiveness. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-008 Perform regression testing. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-009 Track remediation. [Yes/No] [Control] [Owner] [Evidence] [Status]
AAT-FR-010 Retain assurance evidence. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document assurance and testing notes, gaps, assumptions, or exceptions]

12. Pillar 9: Monitoring, Logging, and Evidence Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
MLE-FR-001 Define AI logging requirements. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-002 Log AI interactions. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-003 Log AI data access. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-004 Log AI tool calls and actions. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-005 Log approvals and exceptions. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-006 Detect policy violations. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-007 Integrate with monitoring systems. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-008 Preserve investigation evidence. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-009 Define evidence retention. [Yes/No] [Control] [Owner] [Evidence] [Status]
MLE-FR-010 Protect AI logs. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document monitoring, logging, and evidence notes, gaps, assumptions, or exceptions]

13. Pillar 10: Incident Containment and Recovery Requirements

Applicability

[Applicable / Not applicable / Partially applicable]

Requirement Mapping

Requirement ID Requirement Applicable? Implementation Control Owner Evidence Status
ICR-FR-001 Define AI incident scenarios. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-002 Define AI incident severity. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-003 Provide access revocation. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-004 Provide agent and tool kill switches. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-005 Preserve AI incident evidence. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-006 Define escalation paths. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-007 Define recovery actions. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-008 Manage vendor AI incidents. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-009 Review AI incidents. [Yes/No] [Control] [Owner] [Evidence] [Status]
ICR-FR-010 Feed lessons learned into control improvement. [Yes/No] [Control] [Owner] [Evidence] [Status]

Notes

[Document incident containment and recovery notes, gaps, assumptions, or exceptions]

14. Non-Functional Requirement Mapping

Use this section to map non-functional requirements that apply across the AI control design.

Requirement Area Applicable? Implementation Approach Evidence Status
Auditability [Yes/No] [Approach] [Evidence] [Status]
Explainability [Yes/No] [Approach] [Evidence] [Status]
Enforceability [Yes/No] [Approach] [Evidence] [Status]
Scalability [Yes/No] [Approach] [Evidence] [Status]
Privacy preservation [Yes/No] [Approach] [Evidence] [Status]
Resilience [Yes/No] [Approach] [Evidence] [Status]
Recoverability [Yes/No] [Approach] [Evidence] [Status]
Vendor neutrality [Yes/No] [Approach] [Evidence] [Status]
Brownfield compatibility [Yes/No] [Approach] [Evidence] [Status]
Traceability [Yes/No] [Approach] [Evidence] [Status]

15. Evidence Mapping

Required Evidence Summary

Evidence Type Required? Owner Location Retention Status
Inventory record [Yes/No] [Owner] [Location] [Retention] [Status]
Risk assessment [Yes/No] [Owner] [Location] [Retention] [Status]
Identity/access approval [Yes/No] [Owner] [Location] [Retention] [Status]
Data source approval [Yes/No] [Owner] [Location] [Retention] [Status]
Prompt/input evidence [Yes/No] [Owner] [Location] [Retention] [Status]
Retrieval logs [Yes/No] [Owner] [Location] [Retention] [Status]
Output logs [Yes/No] [Owner] [Location] [Retention] [Status]
Validation records [Yes/No] [Owner] [Location] [Retention] [Status]
Decision evidence [Yes/No] [Owner] [Location] [Retention] [Status]
Tool call logs [Yes/No] [Owner] [Location] [Retention] [Status]
Action logs [Yes/No] [Owner] [Location] [Retention] [Status]
Approval records [Yes/No] [Owner] [Location] [Retention] [Status]
Exception records [Yes/No] [Owner] [Location] [Retention] [Status]
Assurance test results [Yes/No] [Owner] [Location] [Retention] [Status]
Incident evidence [Yes/No] [Owner] [Location] [Retention] [Status]
Vendor evidence [Yes/No] [Owner] [Location] [Retention] [Status]

16. Assurance Mapping

Required Assurance Activities

Assurance Activity Required? Trigger Owner Evidence Status
Design review [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Pre-deployment testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Prompt injection testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Data leakage testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Retrieval boundary testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Output validation testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Tool misuse testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Approval gate testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Logging completeness testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Evidence reconstruction testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Kill switch testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Rollback testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Vendor assurance review [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Regression testing [Yes/No] [Trigger] [Owner] [Evidence] [Status]
Incident tabletop [Yes/No] [Trigger] [Owner] [Evidence] [Status]

17. Gap Summary

Requirement Gaps

Gap ID Requirement ID Gap Description Severity Owner Due Date Status
[Gap ID] [Requirement ID] [Description] [Low/Medium/High/Critical] [Owner] [Date] [Status]

Exception Required?

[ ] No
[ ] Yes
[ ] Unknown

Exception Summary

Requirement ID Exception Needed? Rationale Compensating Control Expiry
[Requirement ID] [Yes/No] [Rationale] [Control] [Date]

18. Approval

Mapping Completed By

Name:
Function:
Date:

Business Owner Review

Name:
Decision:
Date:
Notes:

Architecture / Security Review

Name or forum:
Decision:
Date:
Notes:

Risk / Governance Review

Name or forum:
Decision:
Date:
Notes:

19. Summary

Use case:
Risk tier:
Applicable pillars:
Highest priority requirements:
Required evidence:
Required assurance:
Open gaps:
Exceptions required:
Approval status:
Next review date: