AI Compliance¶
Ensuring compliance with regulations and standards is crucial for AI systems. This guide covers key regulatory requirements, industry standards, and implementation practices.
Regulatory Frameworks¶
Data Protection¶
EU's General Data Protection Regulation requirements for AI systems: - Data minimization principles - Purpose limitation requirements - Storage limitation guidelines - Lawful processing standards - Data subject rights protection
AI-Specific Regulations¶
Comprehensive framework for AI regulation in the EU: - Risk categorization system - High-risk system requirements - Prohibited AI practices - Transparency obligations - Human oversight requirements
Industry Standards¶
Artificial Intelligence Management System standard: - Management commitment requirements - Risk assessment procedures - Performance evaluation methods - Continuous improvement processes - Documentation requirements
Compliance Controls¶
Technical Controls¶
- Access Management
- Role-based access
- Authentication systems
- Authorization controls
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Access monitoring
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Data Protection
- Encryption standards
- Data masking
- Secure transmission
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Storage security
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Audit Trails
- System logging
- User activity tracking
- Change management
- Incident recording
Procedural Controls¶
- Documentation
- Policy documentation
- Process documentation
- Technical documentation
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Training materials
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Training Programs
- Compliance training
- Security awareness
- Process training
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Update training
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Change Management
- Change procedures
- Impact assessment
- Approval processes
- Documentation updates
Documentation Requirements¶
System Documentation¶
- Technical Architecture
- System design
- Data flows
- Security measures
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Integration points
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Model Documentation
- Model architecture
- Training procedures
- Validation methods
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Performance metrics
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Operational Procedures
- Operating manuals
- Maintenance procedures
- Incident response
- Recovery plans
Compliance Documentation¶
- Policies and Procedures
- Compliance policies
- Operating procedures
- Security policies
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Privacy policies
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Risk Assessments
- Risk analysis
- Impact assessments
- Mitigation plans
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Review records
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Audit Records
- Internal audits
- External audits
- Compliance checks
- Review findings
Audit and Assurance¶
Internal Audit¶
- Regular assessments
- Control testing
- Compliance verification
- Process evaluation
- Documentation review
External Audit¶
- Third-party assessments
- Certification audits
- Regulatory inspections
- Client audits
- Security assessments
Reporting Requirements¶
Internal Reporting¶
- Compliance Reports
- Status updates
- Issue tracking
- Resolution progress
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Risk indicators
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Performance Reports
- Control effectiveness
- Issue resolution
- Training completion
- Incident statistics
External Reporting¶
- Regulatory Reports
- Compliance status
- Incident reports
- Performance metrics
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Risk assessments
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Stakeholder Reports
- Client reports
- Audit findings
- Certification status
- Public disclosures
Tools and Resources¶
NIST AI resources and guidelines for implementing compliant AI systems.
ISO standards and frameworks for ensuring AI compliance.