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1. Policy Mapping and Control Evidence2. Human Oversight and Escalation Governance
Policy Mapping and Control Evidence
📚 Compliance and Governance⏱ 10 min⭐ 105 XP
Translate Policy into Controls
Compliance work is evidence work. Map each policy requirement to technical controls, owners, and logs - an auditor's question is never "do you care about safety?", it is "show me the control, its owner, and six months of evidence that it ran".
The Mapping Table That Survives Audits
| Policy statement | Technical control | Evidence source | Owner / cadence |
|---|---|---|---|
| "Only approved models may process customer data" | IAM resource pinning + SCP deny on non-approved ARNs | IAM policy versions, CloudTrail denied-call log | Platform / quarterly |
| "Harmful content must be blocked" | Guardrails config vX + safety regression suite in CI | Suite scores per release, intervention metrics | AI safety / per release |
| "PII must not be exposed to third parties" | Field masking + Guardrails PII filters | Masking unit tests, filter action logs | Data protection / monthly |
| "AI decisions must be explainable" | Trace correlation with versioned spans | Trace store, retention policy doc | Engineering / continuous |
Why Regulators Are Asking (EU AI Act Context)
Risk-based AI regulation - the EU AI Act being the sharpest example - expects documented risk classification, human oversight design, logging adequacy, and post-market monitoring for in-scope systems. The mapping table above is exactly the artifact that answers those obligations without a scramble.
Make Evidence a Byproduct, Not a Project
- Every control should emit its own evidence - CI gates produce scored reports, guardrails produce intervention logs, IAM produces CloudTrail. If evidence requires manual screenshotting, the control design is wrong.
- Define review cadence per control - and alert when a review is missed, not when the audit letter arrives.
- Version the map itself - policy changes, control upgrades, and ownership transfers are all diffs with dates.
One artifact, many masters: the same policy-control-evidence map serves internal risk, external auditors, and incident reviewers. Build it once, keep it current, and every compliance conversation becomes a lookup.
🧪 Knowledge Check
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What is the core output of compliance engineering?
Marketing copy
Traceable control evidence
UI themes
Daily standups