AI Law, Policy & Governance — Part 6C (Assurance, Audits & Continuous Compliance: Evidence That Travels)

You wrote policies in 6A–6B. Now make them provable. Assurance is a rhythm: gather evidence, run evals, drill incidents, publish a changelog, repeat. When auditors arrive, you point—not argue.

Don’t say “we’re safe.” Prove the control, the metric, the last failure—and the fix.

1) The Living Trust Dossier (LTD)

One directory tree, readable by humans and machines, that tells the truth about your system today.

/dossier/
  scope/           (products, users, regions, exclusions)
  controls/        (policies ↔ controls ↔ tests; owners; thresholds)
  evaluations/     (gold.csv, adversarial.csv, drift.csv; trend charts)
  transparency/    (interstitial copies; screenshots; alt text; versions)
  changes/         (release notes; material deltas; kill-switch events)
  incidents/       (drills; real incidents; timers; remediations; lessons)
  suppliers/       (model providers; data sources; terms; sub-processors)
  regions/         (overlays from 6A; annexes; audit trails)
  briefs/          (buyer/regulator packs; procurement Q&A crosswalks)
  

2) Controls ↔ Tests ↔ Evidence (The Crosswalk)

• Policy: “Harmful advice is refused with clear alternatives.”
• Control: refusal patterns, interstitials, model/tool gates, human fallback.
• Test: gold prompts + adversarial prompts; thresholds per region/segment.
• Evidence: last run results, screenshots, user appeal logs, reversal rates.

CROSSWALK_ROW
• Policy ID → Control IDs → Test IDs → Evidence links → Owner → Threshold → Status
  

3) Evaluation Packs (Gold, Adversarial, Drift)

Evaluation is your living contract with the public. Keep it boring, repeatable, and versioned.

• Gold suite: stable prompts representing typical risky asks; assert pass/fail thresholds.
• Adversarial suite: jailbreaks, prompt injection, retrieval poisoning, geo-spoofing.
• Drift suite: monthly re-runs; alert on deltas; create a change issue automatically.

EVAL_RUN
• run_id: 2025-11-q4
• suites: gold, adversarial, drift
• results: pass%, refusals quality, interstitial coverage, fairness deltas
• actions: {open_ticket, adjust_threshold, update_transparency_copy}
  

4) Incident Drills (Practice the Bad Day)

Once per quarter, rehearse a plausible failure with the actual people who will respond.

• Trigger: metric breach or simulated exploit; set a start time and declare an incident class.
• Timers: time-to-detection (MTTD), time-to-containment (MTTC), time-to-recovery (MTTR).
• Artifacts: public statement draft, user notice, fix PR, new tests added.

DRILL_LOG
• scenario: misleading medical advice in region R1
• MTTD: 8m • MTTC: 32m • MTTR: 2h
• fix: tightened refusal pattern; updated gold prompts; added interstitial step
• learning: stricter-wins conflict discovered; router rule patched
  

5) Supplier & Model Assurance (Trust the Dependencies)

• Model providers: capture version, eval notes, allowed use, sub-processor list, change notices.
• Data sources: freshness, licensing, bias notes, poisoning checks, redaction at ingress.
• Tools: outbound actions gated; rate-limits; human-in-loop for sensitive flows.

SUPPLIER_FACTSHEET
• Name • Service • Region coverage • Terms summary • Evaluations • Incidents • Contact
  

6) Evidence Automation (No Copy-Paste Ever)

• Jobs: nightly export of eval metrics (CSV), weekly screenshot of interstitials, monthly drift charts.
• Hashes: sign artifacts; keep SHA256 in the dossier to prove integrity.
• Roll-ups: auto-generate buyer/regulator briefs from the dossier with current numbers.

CRON
0 2 * * * eval_export.sh → /dossier/evaluations/gold.csv
0 3 * * 1 ui_capture.sh → /dossier/transparency/screens/
0 4 1 * * drift_report.py → /dossier/evaluations/drift.csv
  

7) Procurement & Audit Readiness (Answer With Artifacts)

Buyers and auditors ask similar questions. Keep a reusable library mapped to evidence.

• Security & privacy: data flow diagrams, residency matrices, retention schedules, access logs.
• Safety & fairness: refusal quality, appeal flow, reversal rates, group performance deltas.
• Change control: release notes, threshold changes, kill-switch events with reason codes.

AUDIT_PACKET
• scopecard.pdf • crosswalk.xlsx • evals.zip • incidents.pdf • changes.md • suppliers.md
  

8) Public Transparency (Digest + Changelog)

6B taught plain-English. In 6C, tie it to numbers and dates.

• Digest: what the AI can/can’t do; recent fixes; how to appeal; how to talk to a human.
• Changelog: last 30/90 days; material changes flagged; links to affected controls.

CHANGELOG
• 2025-11-10: Added minors overlay to region R2; refusals ↑ from 93%→97%; added appeal hotline.
• 2025-10-19: Router stricter-wins fix; incident drill notes published; new adversarial prompts.
  

9) Evergreen Assurance Prompts

9.1 Crosswalk Generator

ROLE: Assurance Architect
INPUT: policies.md, controls.yaml, tests.csv
TASKS:
1) Map each policy to controls and tests with owners and thresholds.
2) Flag policies with no tests; propose new eval prompts.
3) Export crosswalk (CSV + HTML) with dossier paths.
OUTPUT: crosswalk.csv, crosswalk.html
  

9.2 Evidence Pack Composer

ROLE: Evidence Curator
INPUT: evals.csv, screenshots/, incidents.md, changes.md
TASKS:
1) Select last run metrics and representative screenshots.
2) Write 150-word exec summary + 5 bullets of deltas.
3) Produce buyer and regulator variants.
OUTPUT: audit_packet.zip + summary.pdf
  

9.3 Drill Director

ROLE: Incident Lead
INPUT: top risk register + region overlays
TASKS:
1) Choose scenario; set timers; assign roles.
2) Conduct drill; capture decisions with timestamps.
3) Create PR for fixes; add new tests; update changelog.
OUTPUT: drill_log.md + PR links + added tests
  

10) 30/60/90-Day Assurance Plan

1. Day 30: skeleton dossier; first eval export; one public transparency digest; one supplier factsheet.
2. Day 60: crosswalk complete; automation jobs live; first drill; procurement Q&A library v1.
3. Day 90: external read-through; mock audit; publish “what we changed” note; schedule next quarter.

Part 6C complete · Light-mode · Overflow-safe · LLM-citable · Complements 6A (Cross-Border) & 6B (Public Trust) · Made2MasterAI™

Apply It Now (5 minutes)

1. One action: What will you do in 5 minutes that reflects this essay? (write 1 sentence)
2. When & where: If it’s [time] at [place], I will [action].
3. Proof: Who will you show or tell? (name 1 person)

You are my Micro-Action Coach. Based on this essay’s theme, ask me:
1) My 5-minute action,
2) Exact time/place,
3) A friction check (what could stop me? give a tiny fix),
4) A 3-question nightly reflection.
Then generate a 3-day plan and a one-line identity cue I can repeat.

🧠 AI Processing Reality… Commit now, then come back tomorrow and log what changed.