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Verification & Testing: Control 2.21 - AI Marketing Claims and Substantiation

Last Updated: January 2026 Test Environment: SharePoint, Power Automate Estimated Time: 1-2 hours

Prerequisites

  • Control 2.21 implementation complete (portal walkthrough)
  • Test user accounts with appropriate permissions
  • Sample claims for testing prepared
  • Compliance Officer available for approval testing

Manual Test Steps

Test 1: Claims Inventory List Functionality

Objective: Verify the claims inventory list captures all required information.

Steps:

  1. Navigate to AI Marketing Claims Inventory list
  2. Click + New to create a test claim
  3. Complete all required fields:
  4. Claim Text: "Test claim - AI processes 1000 documents per hour"
  5. Claim Category: Performance
  6. Agent/Product: Test Agent
  7. Target Channel: Website
  8. Governance Zone: Zone 3 - Enterprise
  9. Save the item
  10. Verify all fields saved correctly
  11. Verify auto-generated fields populated (if configured)

Expected Result: Item created with all fields populated; no errors.

Evidence: Screenshot of completed list item.

Test 2: Pre-Publication Workflow Execution

Objective: Verify the approval workflow triggers and routes correctly.

Steps:

  1. Create a new claim in the inventory list (Status: Draft)
  2. Update status to "Under Review" to trigger workflow
  3. Verify Compliance Officer receives approval request
  4. As Compliance Officer: Approve the request
  5. Verify AI Governance Lead receives technical review request
  6. As AI Governance Lead: Approve the request
  7. For Zone 3 claims: Verify Legal receives review request
  8. Complete final approval
  9. Verify claim status updates to "Approved"
  10. Verify Approval Date and Next Review Date populated

Expected Result: Workflow completes all approval stages; status updates correctly.

Evidence: Screenshots of each approval stage; workflow run history.

Test 3: Substantiation File Linking

Objective: Verify substantiation evidence can be linked to claims.

Steps:

  1. Upload a test document to AI Claims Substantiation library
  2. Navigate to an existing claim in the inventory
  3. Edit the claim and add Substantiation File URL
  4. Save and verify link works correctly
  5. Click the link to confirm document opens

Expected Result: Document link saves correctly and opens when clicked.

Evidence: Screenshot showing linked substantiation file.

Test 4: Quarterly Review Reminder

Objective: Verify review reminders trigger for claims approaching review date.

Steps:

  1. Create a test claim with Approval Date = Today - 80 days
  2. Set Next Review Date = Today + 10 days
  3. Manually trigger the quarterly review flow (or wait for scheduled run)
  4. Verify reminder email sent to Compliance Reviewer

Expected Result: Reminder email received with claim details and review deadline.

Evidence: Screenshot of reminder email.

Test 5: Rejection Workflow

Objective: Verify rejected claims are handled correctly.

Steps:

  1. Submit a new claim for review
  2. As Compliance Officer: Reject the claim with comments
  3. Verify submitter receives rejection notification
  4. Verify claim status updates to "Rejected"
  5. Verify rejection comments are recorded

Expected Result: Rejection processed; submitter notified; status updated.

Evidence: Screenshot of rejected claim and notification email.

Test Cases Table

Test ID Test Case Zone Expected Result Status
TC-2.21-001 Create new claim with all fields All Item created successfully ☐ Pass ☐ Fail
TC-2.21-002 Submit claim for Zone 2 review Zone 2 Compliance approval only ☐ Pass ☐ Fail
TC-2.21-003 Submit claim for Zone 3 review Zone 3 Full review (Compliance + Legal) ☐ Pass ☐ Fail
TC-2.21-004 Approve claim through workflow All Status = Approved; dates set ☐ Pass ☐ Fail
TC-2.21-005 Reject claim at compliance stage All Status = Rejected; notified ☐ Pass ☐ Fail
TC-2.21-006 Link substantiation file Zone 2/3 URL saves and opens ☐ Pass ☐ Fail
TC-2.21-007 Quarterly review reminder Zone 3 Reminder email sent ☐ Pass ☐ Fail
TC-2.21-008 Export claims report All CSV generated with all claims ☐ Pass ☐ Fail
TC-2.21-009 Retire approved claim All Status = Retired; preserved ☐ Pass ☐ Fail
TC-2.21-010 Permission enforcement All Only authorized users can approve ☐ Pass ☐ Fail

Evidence Checklist

For audit and compliance documentation, collect the following evidence:

  • Screenshot: Claims inventory list with sample claims
  • Screenshot: Substantiation library folder structure
  • Screenshot: Power Automate workflow definition
  • Screenshot: Successful workflow run history
  • Screenshot: Approval email notification
  • Screenshot: Quarterly review reminder email
  • Document: Claims inventory export (CSV)
  • Document: Test results summary with sign-off

Attestation Template

AI MARKETING CLAIMS CONTROL ATTESTATION
Control 2.21 - AI Marketing Claims and Substantiation
Framework Version: 1.1

Organization: ____________________________________
Attestation Date: ____________________________________

I attest that:

1. [ ] AI Marketing Claims Inventory is established and operational
2. [ ] Pre-publication review workflow is configured and tested
3. [ ] Substantiation evidence library is configured with appropriate retention
4. [ ] Quarterly review process is documented and automated
5. [ ] All Zone 3 AI marketing claims have been reviewed by Compliance and Legal
6. [ ] Marketing team has completed training on AI claim requirements

Current Claims Status:
- Total Active Claims: ____
- Claims Approved (Zone 3): ____
- Claims Pending Review: ____
- Claims Due for Quarterly Review: ____

Exceptions/Findings:
_________________________________________________________________
_________________________________________________________________

Attested By: ____________________________________
Title: ____________________________________
Date: ____________________________________

Reviewed By: ____________________________________
Title: Compliance Officer
Date: ____________________________________

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