v0.1.0

AI Identity and Access Control Template

This template is used to define, approve, test, and evidence the identity and access control model for an AI use case.

AI must not receive authority without identity.

The purpose of this template is to ensure AI actors, agents, applications, copilots, vendor AI features, service identities, delegated authority, access scopes, privileged access, access reviews, attribution, and revocation paths are clearly defined and controlled.

1. Identity and Access Control Information

AI Use Case Name

[Enter AI use case name]

Identity / Access Control ID

[Enter control ID]

Date

[Enter date]

Prepared By

Name:
Function:
Email:

Business Owner

Name:
Function:
Email:

Technical Owner

Name:
Function:
Email:

IAM 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

3. AI Actor Identification

AI Actors In Scope

Select all that apply:

[ ] Human user using AI
[ ] Copilot
[ ] Internal AI application
[ ] AI agent
[ ] AI workflow
[ ] Service account
[ ] Application identity
[ ] Vendor-managed AI identity
[ ] Embedded SaaS AI feature
[ ] API-based AI service
[ ] Tool-calling AI
[ ] Other

AI Actor Summary

AI Actor Description Owner Identity Required? Notes
[Actor] [Description] [Owner] [Yes/No] [Notes]

Actor Notes

[Describe all AI actors, users, services, agents, vendors, and delegated processes involved]

4. Identity Model

Identity Model Selected

Select all that apply:

[ ] Direct user identity
[ ] Delegated user authority
[ ] Service identity
[ ] Application identity
[ ] Agent identity
[ ] Vendor-managed identity
[ ] Hybrid identity
[ ] Not applicable
[ ] Unknown

Identity Model Description

[Describe how AI identity is represented and how AI activity is distinguished from human activity]

Identity Records

Identity Type Owner Purpose Approved?
[Identity] [User/Service/App/Agent/Vendor] [Owner] [Purpose] [Yes/No/Pending]

Identity Model Rationale

[Explain why this identity model is appropriate for the AI use case and risk tier]

5. Delegated Authority

Delegated Authority Used?

[ ] No
[ ] Yes
[ ] Unknown

Delegation Model

Select all that apply:

[ ] AI acts only as current user
[ ] AI acts on behalf of user with explicit consent
[ ] AI acts on behalf of user with session-based delegation
[ ] AI acts through service account
[ ] AI acts through agent identity
[ ] AI acts through vendor-managed identity
[ ] AI acts through workflow identity
[ ] Other

Delegated Authority Scope

[Describe what authority is delegated, by whom, for what purpose, and under what conditions]

Delegation Constraints

[Describe limits on delegated authority, such as time, system, data, action, workflow, or approval boundaries]

Delegation Evidence

[Describe where delegation approvals, consent, logs, or records are stored]

6. Access Scope

Systems Accessible to AI

System / Platform Access Type Identity Used Owner Approved?
[System] [Read/Write/Admin/Tool/API] [Identity] [Owner] [Yes/No/Pending]

Data Sources Accessible to AI

Data Source Classification Access Type Boundary Approved?
[Data source] [Classification] [Read/Retrieve/Process] [Boundary] [Yes/No/Pending]

Tools / APIs Accessible to AI

Tool / API Action Type Identity Used Risk Level Approved?
[Tool/API] [Read/Write/Action/Admin] [Identity] [Low/Medium/High/Critical] [Yes/No/Pending]

Access Scope Notes

[Describe approved access scope and restrictions]

7. Least Privilege

Least Privilege Applied?

[ ] No
[ ] Yes
[ ] Partial
[ ] Unknown

Least Privilege Controls

Select all that apply:

[ ] Role-based access
[ ] Attribute-based access
[ ] Policy-based access
[ ] Data classification filtering
[ ] Repository allowlist
[ ] Repository denylist
[ ] Tool allowlist
[ ] Tool denylist
[ ] API method restriction
[ ] Environment restriction
[ ] Time-bound access
[ ] Rate limits
[ ] Transaction limits
[ ] Approval-gated access
[ ] Other

Access Justification

[Explain why each access permission is necessary for the approved use case]

Excessive Access Identified?

[ ] No
[ ] Yes
[ ] Unknown

Excessive Access Notes

[Describe excessive access, remediation actions, or compensating controls]

8. Privileged Access

Privileged Access Used?

[ ] No
[ ] Yes
[ ] Unknown

Privileged Access Types

Select all that apply:

[ ] Administrative access
[ ] Production access
[ ] Security tool access
[ ] Access grant/revoke capability
[ ] Configuration change capability
[ ] Financial transaction capability
[ ] Data export capability
[ ] Secret or credential access
[ ] System command execution
[ ] Code deployment
[ ] Other

Privileged Access Controls

Select all that apply:

[ ] PAM control
[ ] Just-in-time access
[ ] Approval required
[ ] Dual approval
[ ] Session recording
[ ] Break-glass process
[ ] Segregation of duties
[ ] Enhanced logging
[ ] Periodic access review
[ ] Immediate revocation path
[ ] Other

Privileged Access Notes

[Describe privileged access risk, approvals, monitoring, and restrictions]

9. Access Approval

Access Approval Required?

[ ] No
[ ] Yes
[ ] Unknown

Access Approval Matrix

Access Requested Approver Approval Date Evidence Expiry
[Access] [Approver] [Date] [Evidence] [Expiry]

Approval Conditions

[Describe conditions that apply to access approval]

Access Approval Notes

[Describe approval gaps, pending approvals, or required remediation]

10. Access Review

Access Review Required?

[ ] No
[ ] Yes
[ ] Unknown

Access Review Frequency

Select one:

[ ] Monthly
[ ] Quarterly
[ ] Semi-annually
[ ] Annually
[ ] At material change
[ ] After incident
[ ] Other

Access Review Scope

Select all that apply:

[ ] AI identities
[ ] Agent identities
[ ] Service accounts
[ ] Application permissions
[ ] Delegated authority
[ ] Data source access
[ ] Tool access
[ ] API access
[ ] Privileged access
[ ] Vendor-managed access
[ ] Other

Last Access Review

Date:
Reviewer:
Result:
Evidence:

Next Access Review

[Enter date]

Access Review Notes

[Describe findings, removals, confirmations, or open access issues]

11. Attribution and Auditability

AI-Mediated Activity Distinguishable?

[ ] No
[ ] Yes
[ ] Partial
[ ] Unknown

Attribution Requirements

Select all that apply:

[ ] Identify initiating user
[ ] Identify AI system
[ ] Identify AI identity
[ ] Identify agent identity
[ ] Identify delegated authority
[ ] Identify service account
[ ] Identify tool or API used
[ ] Identify action performed
[ ] Identify approval record
[ ] Identify downstream system affected
[ ] Other

Attribution Evidence

[Describe logs or records that show who or what performed AI-mediated activity]

Attribution Notes

[Describe attribution gaps or investigation limitations]

12. Session and Token Control

Sessions or Tokens Used?

[ ] No
[ ] Yes
[ ] Unknown

Session / Token Controls

Select all that apply:

[ ] Session timeout
[ ] Token expiry
[ ] Token rotation
[ ] Scope-limited token
[ ] User-bound token
[ ] Service-bound token
[ ] Approval-bound token
[ ] Revocable token
[ ] Refresh token restrictions
[ ] Secret storage control
[ ] Other

Session / Token Notes

[Describe session, token, credential, and secret handling controls]

13. Vendor-Managed Identity

Complete this section if vendor AI is involved.

Vendor-Managed Identity Used?

[ ] No
[ ] Yes
[ ] Unknown

Vendor Identity Model

[Describe how the vendor represents user, application, AI, agent, or service identity]

Does Vendor AI Respect Enterprise Permissions?

[ ] No
[ ] Yes
[ ] Partial
[ ] Unknown

Can Vendor AI Activity Be Audited?

[ ] No
[ ] Yes
[ ] Partial
[ ] Unknown

Vendor Access Revocation

[Describe how vendor AI access can be disabled or restricted]

Vendor Identity Notes

[Describe vendor identity limitations, evidence gaps, or contractual needs]

14. Access Revocation and Emergency Disablement

Revocation Path Defined?

[ ] No
[ ] Yes
[ ] Unknown

Revocation Options

Select all that apply:

[ ] Disable AI identity
[ ] Disable agent identity
[ ] Disable service account
[ ] Remove application permission
[ ] Revoke delegated authority
[ ] Revoke tool permission
[ ] Revoke API key
[ ] Rotate credentials
[ ] Remove data source access
[ ] Disable vendor AI feature
[ ] Disable user group access
[ ] Disable workflow integration
[ ] Other

Revocation Matrix

Access Type Revocation Method Owner Expected Time Evidence
[Access] [Method] [Owner] [Time] [Evidence]

Emergency Disablement Notes

[Describe emergency access revocation process, dependencies, and limitations]

15. Monitoring and Logging

Identity and Access Logging Required?

[ ] No
[ ] Yes
[ ] Unknown

Required Logs

Select all that apply:

[ ] AI identity creation
[ ] AI identity change
[ ] AI identity disablement
[ ] Access request
[ ] Access approval
[ ] Access denial
[ ] Access review
[ ] Delegated authority granted
[ ] Delegated authority used
[ ] Data access
[ ] Tool access
[ ] API access
[ ] Privileged access
[ ] Revocation event
[ ] Failed access attempt
[ ] Policy violation
[ ] Other

Log Location

[Describe where identity and access logs are stored]

Monitoring Rules

Select all that apply:

[ ] Unusual access volume
[ ] Access outside approved scope
[ ] Privileged access use
[ ] Failed access attempts
[ ] Access after revocation
[ ] Delegated authority anomaly
[ ] Vendor access anomaly
[ ] Agent access anomaly
[ ] Other

Monitoring Notes

[Describe monitoring, alerting, routing, and escalation]

16. Testing and Assurance

Required Tests

Select all that apply:

[ ] Identity model review
[ ] Access approval test
[ ] Least privilege test
[ ] Delegated authority test
[ ] Privileged access test
[ ] Attribution test
[ ] Session/token control test
[ ] Vendor identity review
[ ] Access revocation test
[ ] Access logging test
[ ] Policy violation alert test
[ ] Regression test

Test Results

Test Expected Result Actual Result Status Evidence
[Test] [Expected] [Actual] [Pass/Fail/Partial/Not Run] [Evidence]

Open Findings

Finding ID Finding Severity Owner Due Date Status
[Finding ID] [Finding] [Low/Medium/High/Critical] [Owner] [Date] [Status]

17. Exceptions

Exceptions Required?

[ ] No
[ ] Yes
[ ] Unknown

Exception Summary

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

18. Approval

Business Owner Approval

Name:
Decision:
Date:
Notes:

Technical Owner Approval

Name:
Decision:
Date:
Notes:

IAM / Security Approval

Name or forum:
Decision:
Date:
Notes:

Data Owner Approval, If Required

Name:
Decision:
Date:
Notes:
Not applicable reason, if any:

Final Identity and Access Decision

Select one:

[ ] Approved
[ ] Approved with conditions
[ ] Approved for pilot only
[ ] Requires remediation
[ ] Requires exception approval
[ ] Requires additional testing
[ ] Rejected
[ ] Deferred

Approval Conditions

[List conditions required before approval, production use, scaling, or continued operation]

19. Review Triggers

Review this identity and access control design if any of the following occur:

[ ] AI identity changes
[ ] Agent identity changes
[ ] Service account changes
[ ] Delegated authority changes
[ ] Data source access changes
[ ] Tool/API access changes
[ ] Privileged access changes
[ ] Vendor identity model changes
[ ] User population changes
[ ] Risk tier changes
[ ] Incident occurs
[ ] Assurance finding occurs
[ ] Access review finding occurs

Next Review Date

[Enter date]

20. Summary

Use case:
Risk tier:
AI actors:
Identity model:
Delegated authority:
Systems accessible:
Data accessible:
Tools/APIs accessible:
Privileged access:
Least privilege status:
Access review frequency:
Attribution:
Revocation path:
Monitoring:
Required testing:
Exceptions:
Approval status:
Next review date: