AI Governance & Compliance Checklist
Audit your AI initiatives for data privacy, model governance, human review safeguards, and regulatory compliance.
12 Governance Verification Checks
Organized across 4 NIST AI RMF 1.0 Core Functions
1. NIST GOVERN: Culture & Accountability
67%2. NIST MAP: Sensitive Data & IP Guardrails
67%3. NIST MEASURE: Verification, Logging & Vendors
33%4. NIST MANAGE: Incident Handling & Risk
0%Governance Assessment Results
Deterministic Governance Model Active
NIST AI RMF 1.0 & EU AI Act aligned
- No incident management response procedure for hallucinations or data leaks
- Lack of prompt/output audit logging for traceability
NIST AI RMF 1.0 Core Functions
Culture & Accountability
Tool catalog, AI ownership, employee literacy
Context & IP Guardrails
PII protection, confidential data, source code rules
Testing & Human Oversight
Mandatory human gates, audit logs, vendor audits
Incident Handling & Risk
Incident response, AI disclosure, copyright terms
Fails mandatory EU AI Act Article 14 (Human Oversight) and Article 62 (Post-Market Incident Reporting) controls.
AI Governance Maturity: 42/100 (Early Stage)
AI Governance maturity evaluated at 42/100 (Early Stage). 5/12 governance controls are currently operational. Found 2 critical gaps.
NIST AI RMF 1.0 Core Functions Breakdown
Weighted assessment across key technical and business factors
2/3 policies, AI ownership roles, and workforce literacy active.
2/3 data classification, PII, and source code boundaries mapped.
1/3 human gates, audit logging, and vendor assessments operational.
0/3 incident response protocols, AI disclosure, and copyright protections active.
Diagnostic Findings
Automated architectural, economic, and technical observations
Establish AI Incident Triage Procedure
Define protocol for isolating compromised credentials, revoking API keys, and handling suspected customer data ingestion.
Immediate Execution Milestones
- Formulate an emergency key revocation checklist.
- Define legal counsel and compliance notification SLAs (< 72 hours).
- Run a tabletop exercise simulating a model output hallucination in billing.
Supplementary Next Steps
Conduct Responsible AI Training Workshop
Train team members on prompt engineering best practices, hallucination verification, and privacy hygiene.
Need an enterprise AI governance framework or compliance baseline?
Robonom assists organizations in drafting AI policies, establishing audit gateways, and ensuring EU AI Act / ISO 42001 readiness.
Deterministic Business AI & Technical Diagnostic Platform
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AI Governance Maturity: 42/100 (Early Stage)
AI Governance maturity evaluated at 42/100 (Early Stage). 5/12 governance controls are currently operational. Found 2 critical gaps.
Core Decision & Financial Metrics
Assessment Parameters & Assumptions (Audit Trail)
Key Architectural & Operational Findings
Absence of Prompt and Output Audit Logs
Impedes post-incident root-cause investigation if data leakage or intellectual property infringement is alleged.
This calculation reflects deterministic industry benchmarks. Robonom engineers custom APIs, turnkey software, and enterprise RPA automations with guaranteed payback schedules.
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Frequently Asked Questions
What is shadow AI and why is it a significant corporate liability?
Shadow AI refers to employees using unapproved, personal freemium AI tools and browser extensions for work tasks. Without commercial enterprise agreements, free-tier models may store user prompts for training, exposing proprietary intellectual property and customer PII to unauthorized third parties.
What regulations govern enterprise AI usage?
Key frameworks include the EU AI Act (enforcing transparency and risk categorization), GDPR / CCPA (governing personal data processing in model training and inference), and standard ISO 42001 (Artificial Intelligence Management System).
Why is audit logging essential for enterprise AI?
Centralized audit logging records prompt timestamps, user IDs, model hashes, and outputs. If intellectual property infringement, hallucinated commitments, or security leaks occur, audit logs provide the necessary digital evidence for investigation and defense.
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