Module 19 Lesson 5: Passing an AI Audit
Proving your safety. Learn how to prepare for formal AI security audits and earn certifications like the 'EU AI Act' compliance or ISO 42001.
Module 19 Lesson 5: Preparing for AI audits and certifications
In this final lesson of the Governance module, we look at the Audit. This is the formal "Check" that your security assertions are true.
1. The Evidence Repository
An auditor doesn't take your word for it. They want "Evidence."
- For Bias: Show your counterfactual test results.
- For Security: Show your Red Team reports and remediation logs.
- For Privacy: Show your Data Processing Agreement (DPA) and your encryption keys.
2. Common AI Audit Frameworks
- ISO/IEC 42001: The international standard for "AI Management Systems."
- AICPA SOC for AI: A specialized audit that focuses on how you manage AI-specific risks like hallucinations and data poisoning.
- The EU AI Act Audit: A mandatory requirement for "High Risk" AI systems in Europe.
3. The "Mock Audit"
Before the real auditor arrives, perform a Mock Audit.
- The Goal: Find the "Gaps" in your documentation.
- Common Gap: "We said we monitor for prompt injection, but we don't have a log showing that anyone actually reviews the alerts."
4. Continuous Compliance
AI systems change every day (new models, new data).
- The Fix: You can't just audit once. You need Continuous Control Monitoring (CCM).
- This means having automated scripts that "Check" your guardrails every hour and send an alert if a security setting has been disabled.
Exercise: The Lead Auditor
- You are an auditor. You ask the CEO: "How do you know your AI isn't leaking data?" What answer do you expect to hear?
- Why is "Version Control" (knowing exactly which model was running on Jan 1) important for an audit?
- What is the difference between a "Internal Audit" and an "External Audit"?
- Research: What is "CertifAI" or similar AI certification bodies?
Summary
You have completed Module 19: Governance, Risk, and Compliance (GRC) for AI. You now understand how to manage risk, audit for ethics, write policy, and pass the formal inspections that prove your system is safe for the public.
Next Module: The Specialized Wall: Module 20: Sector-Specific AI Security (Finance, Health).