Compliance Guide
AI Compliance Audit Guide (2026) - Internal Audit Procedures
AI compliance audit preparation: document AI policies, training data sources, model decisions, access logs, incident responses. Evidence: policy documents, training records, access logs, test results, incident reports. Audit frequency: annual internal, 2-3 years external (SOC2, ISO 42001).
Direct answer
AI compliance audit preparation: document AI policies, training data sources, model decisions, access logs, incident responses. Evidence: policy documents, training records, access logs, test results, incident reports. Audit frequency: annual internal, 2-3 years external (SOC2, ISO 42001).
Fast path
- Policies: document AI use policy, data handling, model selection criteria.
- Training: records of employee AI training, responsible use guidelines.
- Access: logs of AI system access, API usage, permission changes.
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Implementation Steps
- Policies: document AI use policy, data handling, model selection criteria.
- Training: records of employee AI training, responsible use guidelines.
- Access: logs of AI system access, API usage, permission changes.
- Testing: vulnerability scan results, red team assessments, penetration tests.
- Incidents: documented AI incidents, response actions, remediation.
- Models: model inventory, selection rationale, performance monitoring.
Frequently Asked Questions
How to prepare for AI compliance audit?
Prepare AI audit: document policies (AI use, data handling), training records, access logs, vulnerability scans, incident responses, model inventory. Evidence timeline: retain 2-3 years for external audits. Test evidence retrieval before audit. Assign audit liaison for each AI system.
What evidence do AI audits require?
AI audit evidence: AI use policy (approved use cases), data handling (classification, retention), training records (employee AI training), access logs (who used AI, when), vulnerability scans (security testing results), incident reports (AI-related incidents), model documentation (selection, monitoring).
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