AI Assurance: Evidence, Controls, and Reviews
TL;DR
AI assurance demonstrates that AI systems meet defined objectives and manage risks. It relies on evidence: policies, risk decisions, test results, deployment approvals, monitoring, and incident/CAPA records. ISO 42001 provides management-system requirements; NIST AI RMF informs risk framing and measures.
Key Facts
Assurance is evidence-based, not claims-based.
Evidence spans lifecycle: design, testing, deployment, monitoring, decommission.
Reviews verify control design and effectiveness; outcomes drive CAPA.
Metrics support performance and risk monitoring.
Documentation must be versioned and traceable.
Implementation Steps
Define evidence plan → evidence index.
Collect lifecycle artifacts → design docs, tests, approvals.
Monitor & log → metrics dashboard, audit logs.
Review & attest → review minutes, sign-offs.
CAPA → actions with owners and deadlines.
Glossary
- Assurance
- Confidence that systems operate as intended and meet requirements
- Evidence
- Documented proof that controls are operating effectively
- Review
- Systematic examination of processes, controls, and outcomes
- Attestation
- Formal declaration that requirements have been met
- Metric
- Quantifiable measure of system performance or risk
- CAPA
- Corrective and Preventive Actions - systematic approach to address issues
References
- [1] ISO 42001 AI Management Systems Standard https://www.iso.org/standard/78380.html
- [2] NIST AI Risk Management Framework https://www.nist.gov/itl/ai-risk-management-framework
Machine-readable Facts
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