Compliance Engineering for LLMs: Audit Trails and Change Control

Model behavior can shift with data and prompt updates.

Compliance must cover both code and model changes.

Record model versions, prompt changes, and dataset snapshots.

Audit trails provide accountability and rollback capability.

Use approval gates for high-impact changes.

Automated regression tests should be mandatory.

Encode policies into system prompts and tool permissions.

Use automated checks to verify compliance at runtime.

Track policy violations and audit anomalies.

Alert teams when compliance thresholds are exceeded.

Assign compliance owners for models, data, and prompts.

Define escalation paths for high-severity violations.

Require sign-off from legal and security on high-risk releases.

Document exceptions so deviations are visible and approved.

Use review cadences to keep controls up to date.

Maintain a compliance registry of regulated workflows.

Track who approved each change for accountability.

Rotate reviewers to avoid blind spots and fatigue.

Store evidence of tests, approvals, and incidents in one place.

Use immutable logs for critical compliance events.

Map controls to regulatory requirements for faster audits.

Keep artifact retention policies that match legal requirements.

Run mock audits to uncover missing documentation.

Tag sensitive data flows so auditors can trace access paths.

Maintain change summaries to speed up investigations.

Prepare standard audit reports for common requests.

Use checklists so audit artifacts are consistently maintained.

Review audit evidence quarterly to keep it current.

Log exceptions with justifications to avoid hidden risk.

Track audit response times to improve readiness.

Store reviewer comments alongside evidence for clarity.

Use access controls to keep audit artifacts secure.

Maintain a single audit dashboard so evidence is easy to find.

Set ownership for each control so updates are not missed.

Standardize audit evidence formats for faster review cycles.

Is compliance only for regulated industries? No, it improves trust everywhere.

What is the fastest win? Track and version prompts with approvals.

What is the biggest risk? Untracked prompt changes causing behavior drift.