AI Control Checklist
Last updated: 2026-08-14
The AI control checklist sets out which security and governance controls apply at each consequence tier, so that scrutiny is proportional to what happens when a system is wrong. Registration in the model register and recorded data classification of inputs apply at every tier.
Applying every control to every system guarantees that the controls are ignored on the systems that matter. Proportionality is what makes a control set survive contact with delivery pressure.
The template
Apply proportionally to consequence tier.
| Control | Tier 1 | Tier 2 | Tier 3 | Tier 4 |
|---|---|---|---|---|
| Registered in model register | Yes | Yes | Yes | Yes |
| Data classification of inputs recorded | Yes | Yes | Yes | Yes |
| Data path diagram | No | Yes | Yes | Yes |
| No standing credentials held by model | Yes | Yes | Yes | Yes |
| Authorisation enforced outside the model | Yes | Yes | Yes | Yes |
| Untrusted content marked and de-privileged | Yes | Yes | Yes | Yes |
| Consumption limits and spend alerts | Yes | Yes | Yes | Yes |
| Prompt and completion logging with access control | No | Yes | Yes | Yes |
| Confirmation required for irreversible actions | No | Yes | Yes | Yes |
| Structured red team exercise before go live | No | No | Yes | Yes |
| Independent review of output quality on live-like data | No | No | Yes | Yes |
| Tested rollback to prior process | No | No | Yes | Yes |
| Named stopper with withdrawal authority | No | No | Yes | Yes |
| Re-test triggered by vendor model change | No | No | Yes | Yes |
How to use it
- Read the tier from the model register rather than assigning it separately, so one classification drives everything.
- Apply the controls marked for that tier as mandatory, and record the exceptions rather than allowing silent omission.
- Escalate the control set when a system is promoted to a higher tier, which happens whenever its use widens.
This template comes from the AI Security and Assurance: A Practical Playbook, which sets out the reasoning behind it, the rules of thumb that govern its use, and the signals that tell you the approach is failing. The full playbook is also available as Markdown. See all AI governance templates.