Universal Control Taxonomy (UCT) Registry Reference

SWT3 AI Witness Procedures -- Machine-Readable Compliance Evidence for AI Systems

Document Version
1.7.0
Publication Date
May 29, 2026
Publisher
Tenable Nova LLC
License
Apache 2.0
Protocol
SWT3 Witness Anchor
Status
Proposed Standard
65
AI Procedures
33
Namespaces
10
Frameworks Referenced
5
SDK Languages
191
Total UCT Procedures

1. Scope

This document defines the Universal Control Taxonomy (UCT) for AI Witness procedures within the SWT3 protocol. Each procedure specifies a discrete, witnessable compliance event with machine-readable factor semantics, deterministic evaluation rules, and cross-references to applicable regulatory frameworks.

The UCT Registry serves as the canonical reference for:

Normative Reference: This registry is machine-readable. The canonical JSON schema is published at uct-registry.json (Apache 2.0) and can be consumed programmatically by GRC tools, CI/CD pipelines, and audit platforms.

2. Fingerprint Formula

Every SWT3 Witness Anchor is minted using the following locked formula:

SHA256("WITNESS:" + tenant_id + ":" + procedure_id + ":" + factor_a + ":" + factor_b + ":" + factor_c + ":" + timestamp_ms).hex()[0:12]

This formula is protocol-locked and implemented with cross-language parity across Python, TypeScript, Rust, C#, and Ruby SDKs. Test vectors ensure deterministic output across all implementations.

3. Clearing Levels

SWT3 defines four clearing levels that control the information density of witness payloads:

LevelNameBehavior
0AnalyticsFull context, model ID, prompt/response hashes
1StandardContext preserved, suitable for most deployments
2SensitiveContext stripped, factors and fingerprint preserved
3ClassifiedFactors and fingerprint only, no contextual metadata

CJT fields (jurisdiction, legal_basis, purpose_class) survive all clearing levels. Context fields (ai_context) are stripped at Level 2+.

4. Regulatory Framework References

The UCT Registry cross-references procedures to the following regulatory frameworks and standards:

IdentifierFull NameJurisdiction
EU-AI-ACTEU Artificial Intelligence Act (Regulation 2024/1689)European Union
GDPRGeneral Data Protection Regulation (2016/679)European Union
GPAI-CoPGPAI Code of Practice (July 2025)European Union
NIST-AI-RMFNIST AI Risk Management Framework (AI 100-1)United States
NIST-AI-100-2NIST AI 100-2 Adversarial ML TaxonomyUnited States
NIST-800-53NIST SP 800-53 Rev 5 Security ControlsUnited States
EO-14110Executive Order on Safe AI (Oct 2023)United States
EO-14028Executive Order on Cybersecurity (May 2021)United States
G7-CISAG7/CISA SBOM for AI Minimum Elements (May 2026)International

5. AI Witness Procedure Registry

Procedures are grouped by namespace. Each procedure defines three factors (A, B, C) with semantic labels, regulatory references, and a deterministic evaluation expression.

AI-ACC Access Control Witnessing
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-ACC.1 Agent Access Control Witnessing
A: resource_hash
B: scope_hash
C: outcome
factor_a != '' and factor_b != '' Art.9(4)(c) MANAGE 2.4
AI-BASE Agent Behavioral Baseline
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-BASE.1 Agent Behavioral Baseline
A: dimensions_measured
B: within_envelope
C: mode_code
factor_b == 1 or factor_c == 0 or factor_c == 3 Art.9(2)(b) MEASURE 2.6
AI-CHAIN Multi-Agent Chain of Custody
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-CHAIN.1 Multi-Agent Chain Handoff
A: chain_depth
B: cycle_bound
C: accepted
factor_c == 1 Art.9 GOVERN 1.3
AI-CHAIN.2 Chain Trust Degradation
A: previous_trust
B: new_trust
C: degradation_delta
factor_c >= 0 Art.9 GOVERN 1.3
AI-CHR Agent Charter
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-CHR.1 Agent Charter Registration
A: capabilities_declared
B: constraints_declared
C: charter_hash_present
factor_a > 0 Art.13 GOVERN 1.7
AI-CONSENT Data Subject Consent
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-CONSENT.1 Data Subject Consent
A: subjects_covered
B: legal_basis_code
C: withdrawal_available
factor_a > 0 Art.6/7 Art.10
AI-DATA Training Data Governance
4 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-DATA.1 Training Data Provenance
A: provenance_required
B: provenance_documented
C: reserved
factor_b >= factor_a Art.10(2)(a) MAP 3.5
AI-DATA.2 Training Data License Compliance
A: license_check_required
B: license_verified
C: reserved
factor_b >= factor_a Art.10(2)(a) GOVERN 1.7
AI-DATA.3 Training Data Statistics
A: row_count
B: feature_count
C: class_balance_ratio
factor_a > 0 && factor_b > 0 Art.10(3) MAP 4.1
AI-DATA.4 Training Data PII Lifecycle
A: records_affected
B: event_completed
C: event_type_code
factor_b >= 1 Art.10(5) Art.25
AI-ENV Runtime Environment
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-ENV.1 Runtime Environment Attestation
A: env_hash_present
B: container_isolated
C: runtime_type_code
factor_a == 1 Art.11 GOVERN 1.2
AI-ENV.2 Dependency Manifest Attestation
A: dependencies_count
B: all_pinned
C: vulnerabilities_known
factor_b == 1 Art.11 Sec.4
AI-EXPL Explainability and Confidence
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-EXPL.1 Explanation Generation
A: explanation_required
B: explanation_provided
C: reserved
factor_b >= factor_a Art.13(1) MEASURE 2.5
AI-EXPL.2 Confidence Scoring
A: min_confidence_threshold
B: model_confidence
C: reserved
factor_b >= factor_a Art.13(3)(b)(ii) MAP 2.3
AI-FAIR Fairness and Bias
3 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-FAIR.1 Bias Disparity Measurement
A: max_disparity_ratio
B: observed_disparity
C: protected_class_count
factor_b <= factor_a Art.10(2)(f) MEASURE 2.5
AI-FAIR.2 Fairness Calibration
A: min_fairness_score
B: actual_fairness_score
C: reserved
factor_b >= factor_a Art.9(4)(a) MAP 2.3
AI-FAIR.3 Bias Audit Witnessing
A: groups_tested
B: disparities_found
C: max_disparity_pct
factor_a > 0 Art.10(2)(f) MAP 2.3
AI-GOV AI Governance (Attestation)
7 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-GOV.1 AI Acceptable Use Policy
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.9 GOVERN 1.1 PL-4
AI-GOV.2 Employee AI Training
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.4 GOVERN 2.1 AT-2
AI-GOV.3 Approved Model Registry
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.49 MAP 1.1 CM-8
AI-GOV.4 Shadow AI Incident Response
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.26 GOVERN 1.5 IR-4
AI-GOV.5 Third-Party AI Vendor Assessment
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.25 GOVERN 6.1 SA-4
AI-GOV.6 AI Risk Management Scope Definition
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.17 GOVERN 1.3 PM-9
AI-GOV.7 AI Governance Resource Allocation
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a GOVERN 2.2 PM-3
AI-GRD Guardrail Enforcement
3 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-GRD.1 Guardrail Enforcement — Required Safety Filters Active
A: guardrails_required
B: guardrails_active
C: reserved
factor_b >= factor_a Art.9(2)(a)
AI-GRD.2 Content Safety Filter — Output Classification Passed
A: content_safety_required
B: content_safety_passed
C: reserved
factor_b >= factor_a Art.15(3)
AI-GRD.3 PII Redaction
A: redaction_required
B: redaction_active
C: reserved
factor_b >= factor_a Art.10(2)(f) GOVERN 1.7
AI-HITL Human-in-the-Loop
3 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-HITL.1 Human Review Completion
A: review_required
B: review_completed
C: reserved
factor_b >= factor_a Art.14(1) GOVERN 1.1
AI-HITL.2 Human Override Event Tracking
A: override_logging_required
B: override_logged
C: reserved
factor_b >= factor_a Art.14(4)(d) MANAGE 4.1
AI-HITL.3 Overseer Identity Capture - Reviewer Identified Per Decision
A: identity_capture_required
B: identity_captured
C: reserved
factor_b >= factor_a Art.12(2)(d)
AI-HW Hardware Attestation
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-HW.1 Hardware Runtime Attestation
A: gpu_count
B: memory_gb
C: accelerator_type_code
factor_a > 0 Art.11 GOVERN 1.2
AI-HW.3 TPM Platform Attestation
A: pcr_count
B: quote_verified
C: tpm_version_code
factor_b == 1 GOVERN 1.2
AI-ID Agent Identity
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-ID.1 Agent Identity Assertion
A: agent_id_hash
B: signature_present
C: reserved
factor_a != '' and factor_b == 1 Art.12(1) MAP 1.1
AI-IMPACT Impact Assessment
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-IMPACT.1 AI Societal Impact Assessment
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a MAP 5.2 RA-3
AI-INF Inference Provenance
3 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-INF.1 Inference Provenance — Prompt/Response Hash Capture
A: provenance_required
B: provenance_captured
C: reserved
factor_b >= factor_a Art.12(1)
AI-INF.2 Inference Latency — Response Time Within Threshold
A: latency_threshold_ms
B: measured_latency_ms
C: reserved
factor_b <= factor_a Art.12(2)
AI-INF.3 Inference Volume - Hourly Rate Governance
A: max_inferences_hour
B: actual_inferences
C: reserved
factor_b <= factor_a Art.12(1) GOVERN 2.1
AI-IR Incident Response
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-IR.1 AI Incident Response Capability
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a MANAGE 3.1 IR-8
AI-LIC License Provenance
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-LIC.1 License Provenance
A: components_checked
B: all_compliant
C: license_type_code
factor_b == 1 Art.53(1)(d) GOVERN 1.7
AI-LOG Logging and Audit
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-LOG.1 Log Retention Compliance - Minimum 180-Day Retention Verified
A: min_retention_days
B: actual_retention_days
C: reserved
factor_b >= factor_a Art.12(3)
AI-MARK Content Provenance Marking
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-MARK.1 Content Provenance Marking
A: content_count
B: metadata_attached
C: content_type_code
factor_a > 0 Art.50(2) Transparency
AI-MDL Model Integrity
7 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-MDL.1 Model Weight Integrity — Deployed Hash Matches Approved
A: model_integrity_required
B: model_identity_verified
C: reserved
factor_b >= factor_a Art.9(4)(a)
AI-MDL.2 Model Version Tracking — Version Identifier Recorded
A: version_tracking_required
B: version_recorded
C: reserved
factor_b >= factor_a Art.12(2)(b)
AI-MDL.3 Model Drift Detection
A: drift_threshold
B: drift_score
C: reserved
factor_b <= factor_a Art.72(1) MEASURE 2.6
AI-MDL.4 Feedback Loop Control - Training Data Isolation From Biased Outputs
A: feedback_isolation_required
B: feedback_isolation_active
C: reserved
factor_b >= factor_a Art.15(4)
AI-MDL.5 Weight File Integrity
A: file_size_mb
B: hash_match
C: format_code
factor_b == 1 Art.11 GOVERN 1.2
AI-MDL.6 Adapter Stack Attestation
A: adapter_count
B: all_verified
C: adapter_type_code
factor_b == 1 Art.11 GOVERN 1.2
AI-MDL.7 Quantization Attestation
A: original_bits
B: quantized_bits
C: method_code
factor_b > 0 MEASURE 2.6
AI-MULTI Multi-Agent Delegation
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-MULTI.1 Multi-Agent Delegation
A: delegation_depth
B: permissions_granted
C: time_bound_minutes
factor_a >= 0 Art.9 GOVERN 1.3
AI-RAG Retrieval-Augmented Generation
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-RAG.1 Context Retrieval Provenance
A: chunks_retrieved
B: corpus_hash_present
C: avg_similarity
factor_a > 0 Art.13 MAP 2.3
AI-RAG.2 Context Relevance Scoring
A: chunks_above_threshold
B: total_chunks
C: threshold_pct
factor_a > 0 Art.13 MEASURE 2.5
AI-REDTEAM Adversarial Testing
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-REDTEAM.1 Adversarial Test Campaign
A: tests_executed
B: tests_passed
C: coverage_category_code
factor_a > 0 and factor_b / factor_a >= 0.8 Art.9(7) Sec.4.2 Red Teaming
AI-REV Anchor Revocation
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-REV.1 Anchor Revocation
A: revoked_fingerprint_hash
B: reason_code
C: reserved
factor_a != '' and factor_b >= 0 and factor_b <= 6 Art.14(4)(d) Art.17
AI-RISK Risk Assessment
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-RISK.1 AI Risk Identification and Categorization
A: attestation_required
B: attested
C: reserved
factor_b >= factor_a Art.9 MAP 2.1 RA-2
AI-SAFE Safe State Management
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-SAFE.1 Safe State Transition
A: trigger_code
B: actions_suspended
C: recovery_available
factor_b >= 0 Art.9(4)(b)
AI-SBOM AI Bill of Materials
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-SBOM.1 AI Bill of Materials
A: total_components
B: clusters_documented
C: format_code
factor_a > 0 and factor_b >= 3 Art.11 SBOM-AI Sec.4
AI-SEC Security Controls
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-SEC.1 Adversarial Threat Detection
A: threats_checked
B: threats_detected
C: blocked
factor_a > 0 and factor_b == 0 Art.15(4) MANAGE 2.3
AI-SEC.2 Input Validation and Sanitization
A: validators_required
B: validators_passed
C: input_rejected
factor_b >= factor_a Art.15(3) MANAGE 2.3
AI-SKILL Procedural Knowledge
3 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-SKILL.1 Skill Manifest Attestation
A: skills_declared
B: manifest_hash_present
C: skills_validated
factor_a > 0 Art.9 GOVERN 1.7
AI-SKILL.2 Memory Context Binding
A: memory_entries
B: context_hash_present
C: memory_source_code
factor_a >= 0 MEASURE 2.5
AI-SKILL.3 Reward Model Binding
A: reward_score
B: threshold_met
C: reward_model_hash
factor_b == 1 MEASURE 2.6
AI-TOOL Tool Call Witnessing
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-TOOL.1 Tool Call Witnessing
A: tool_name_hash
B: args_hash
C: outcome
factor_a != '' and factor_b != '' Art.12(1) GOVERN 1.7
AI-TRUST Trust Mesh
2 procedures
ProcedureTitleFactorsEvaluationFrameworks
AI-TRUST.1 Trust Verification
A: trust_level
B: checks_passed
C: checks_total
factor_a > 0 Art.9 GOVERN 1.5
AI-TRUST.2 Trust Credential Presentation
A: trust_level
B: signed
C: procedures_witnessed
factor_a > 0 Art.9 GOVERN 1.5
AI-VIO Violation Recording
1 procedure
ProcedureTitleFactorsEvaluationFrameworks
AI-VIO.1 Policy Violation Record
A: violation_type_code
B: severity
C: auto_remediated
factor_a >= 0 Art.9 MANAGE 4.1

6. Framework Coverage Matrix

Which procedures provide evidence for which regulatory frameworks.

ProcedureNIST AI RMFEO 14028EO 14110EU AI ActG7/CISAGDPRGPAI CoPNIST 800-53NIST AI 100-2NIST AI RMF
AI-ACC.1------Art.9(4)(c)----------MANAGE 2.4
AI-BASE.1------Art.9(2)(b)----------MEASURE 2.6
AI-CHAIN.1------Art.9----------GOVERN 1.3
AI-CHAIN.2------Art.9----------GOVERN 1.3
AI-CHR.1------Art.13----------GOVERN 1.7
AI-CONSENT.1------Art.10--Art.6/7--------
AI-DATA.1MAP 3.5----Art.10(2)(a)------------
AI-DATA.2GOVERN 1.7----Art.10(2)(a)------------
AI-DATA.3MAP 4.1----Art.10(3)------------
AI-DATA.4------Art.10(5)--Art.25--------
AI-ENV.1------Art.11----------GOVERN 1.2
AI-ENV.2--Sec.4--Art.11------------
AI-EXPL.1MEASURE 2.5----Art.13(1)------------
AI-EXPL.2MAP 2.3----Art.13(3)(b)(ii)------------
AI-FAIR.1MEASURE 2.5----Art.10(2)(f)------------
AI-FAIR.2MAP 2.3----Art.9(4)(a)------------
AI-FAIR.3------Art.10(2)(f)----------MAP 2.3
AI-GOV.1GOVERN 1.1----Art.9------PL-4----
AI-GOV.2GOVERN 2.1----Art.4------AT-2----
AI-GOV.3MAP 1.1----Art.49------CM-8----
AI-GOV.4GOVERN 1.5----Art.26------IR-4----
AI-GOV.5GOVERN 6.1----Art.25------SA-4----
AI-GOV.6GOVERN 1.3----Art.17------PM-9----
AI-GOV.7GOVERN 2.2------------PM-3----
AI-GRD.1------Art.9(2)(a)------------
AI-GRD.2------Art.15(3)------------
AI-GRD.3GOVERN 1.7----Art.10(2)(f)------------
AI-HITL.1GOVERN 1.1----Art.14(1)------------
AI-HITL.2MANAGE 4.1----Art.14(4)(d)------------
AI-HITL.3------Art.12(2)(d)------------
AI-HW.1------Art.11----------GOVERN 1.2
AI-HW.3------------------GOVERN 1.2
AI-ID.1------Art.12(1)----------MAP 1.1
AI-IMPACT.1MAP 5.2------------RA-3----
AI-INF.1------Art.12(1)------------
AI-INF.2------Art.12(2)------------
AI-INF.3GOVERN 2.1----Art.12(1)------------
AI-IR.1MANAGE 3.1------------IR-8----
AI-LIC.1------Art.53(1)(d)----------GOVERN 1.7
AI-LOG.1------Art.12(3)------------
AI-MARK.1------Art.50(2)----Transparency------
AI-MDL.1------Art.9(4)(a)------------
AI-MDL.2------Art.12(2)(b)------------
AI-MDL.3MEASURE 2.6----Art.72(1)------------
AI-MDL.4------Art.15(4)------------
AI-MDL.5------Art.11----------GOVERN 1.2
AI-MDL.6------Art.11----------GOVERN 1.2
AI-MDL.7------------------MEASURE 2.6
AI-MULTI.1------Art.9----------GOVERN 1.3
AI-RAG.1------Art.13----------MAP 2.3
AI-RAG.2------Art.13----------MEASURE 2.5
AI-REDTEAM.1----Sec.4.2Art.9(7)--------Red Teaming--
AI-REV.1------Art.14(4)(d)--Art.17--------
AI-RISK.1MAP 2.1----Art.9------RA-2----
AI-SAFE.1------Art.9(4)(b)------------
AI-SBOM.1--Sec.4--Art.11SBOM-AI----------
AI-SEC.1------Art.15(4)----------MANAGE 2.3
AI-SEC.2------Art.15(3)----------MANAGE 2.3
AI-SKILL.1------Art.9----------GOVERN 1.7
AI-SKILL.2------------------MEASURE 2.5
AI-SKILL.3------------------MEASURE 2.6
AI-TOOL.1------Art.12(1)----------GOVERN 1.7
AI-TRUST.1------Art.9----------GOVERN 1.5
AI-TRUST.2------Art.9----------GOVERN 1.5
AI-VIO.1------Art.9----------MANAGE 4.1

7. Version History

VersionDateChanges
1.0.02026-02-26Initial UCT Registry with infrastructure controls and 6 AI procedures
1.1.02026-03-15AI governance attestation controls (AI-GOV.1-7). 20 AI procedures.
1.2.02026-03-29AI Witnessing Profile. Protocol Lock Phase 2. 36 AI procedures.
1.3.02026-04-17Framework crosswalk expansion. 38 AI procedures.
1.4.02026-05-03AI-DATA.3/4, model integrity extensions. 42 procedures.
1.5.02026-05-23AI-FAIR.3, AI-CHAIN.2, AI-ENV.1/2, AI-MARK.1, AI-BASE.1. 47 procedures.
1.6.02026-05-28AI-LIC.1 (License Provenance). 48 AI SDK procedures.
1.7.02026-05-29AI-SBOM.1, AI-REDTEAM.1, AI-CONSENT.1, AI-MULTI.1. Full registry synchronization: 27 procedures added from SDK. 65 AI procedures, 33 namespaces, 10 regulatory frameworks.