AI Model Development and Security Checklist

This checklist assesses the organization's secure AI model development practices, vulnerability testing, and model security controls based on ISO 42001, CIS Controls, and NIST CSF frameworks.

Assessment Information

Organization Name: Assessment Date:
Assessor Name: Assessment Type: Pre-Engagement / Post-Engagement

Compliance Status Legend

Status Description
Compliant The organization fully meets the requirements of the control.
Partially Compliant The organization partially meets the requirements of the control.
Non-Compliant The organization does not meet the requirements of the control.
Not Applicable The control is not applicable to the organization's environment.

AI Model Development and Security Controls

3.1 Secure AI Model Development Lifecycle

Control ID Control Description Compliance Status Evidence Remediation
MODEL-3.1 The organization has implemented a secure AI model development lifecycle that includes security requirements, threat modeling, and security testing at each phase.

Implement a secure AI model development lifecycle that includes security requirements, threat modeling, and security testing at each phase. Document the lifecycle process and ensure it is followed for all AI model development.

3.2 AI Model Documentation and Version Control

Control ID Control Description Compliance Status Evidence Remediation
MODEL-3.2 The organization has established standardized documentation practices for AI models, including architecture, parameters, training methods, and version control.

Establish standardized documentation practices for AI models, including architecture, parameters, training methods, and version control. Implement a model registry or repository to maintain documentation and version history.

3.3 AI Model Security Testing

Control ID Control Description Compliance Status Evidence Remediation
MODEL-3.3 The organization has implemented comprehensive security testing for AI models, including adversarial testing, input validation, and output filtering.

Implement comprehensive security testing for AI models, including adversarial testing, input validation, and output filtering. Develop a testing framework specific to AI models and document testing results.

3.4 AI Supply Chain Risk Management

Control ID Control Description Compliance Status Evidence Remediation
MODEL-3.4 The organization has developed and implemented a supply chain risk management program for AI components, including vendor assessment and component verification.

Develop and implement a supply chain risk management program for AI components, including vendor assessment and component verification. Establish criteria for evaluating third-party AI components and services.

3.5 Secure Model Updates and Versioning

Control ID Control Description Compliance Status Evidence Remediation
MODEL-3.5 The organization has established formal processes for secure model updates, including testing, approval, and rollback capabilities.

Establish formal processes for secure model updates, including testing, approval, and rollback capabilities. Implement a change management process specific to AI models and ensure all updates are properly tested before deployment.

3.6 Third-Party AI Model Security Assessment

Control ID Control Description Compliance Status Evidence Remediation
MODEL-3.6 The organization has implemented a program for regular security assessments of third-party AI models, including documentation review, testing, and compliance verification.

Implement a program for regular security assessments of third-party AI models, including documentation review, testing, and compliance verification. Develop assessment criteria and schedules for third-party AI models used by the organization.

Assessment Summary

Total Controls Compliant Partially Compliant Non-Compliant Not Applicable Compliance Score
6 0 0 0 0 0%

Recommendations

Approval

Assessor Signature: Date:
Client Signature: Date: