AI Compliance Audit

AI Compliance Audit: The Five-Stage Process

Our rigorous audit process ensures your Artificial Intelligence Management System (AIMS) meets ISO/IEC 42001:2023 and emerging EU AI Act requirements. This comprehensive approach is designed to provide maximum assurance and minimal disruption to your operations.

Introduction to AIMS Certification (ISO/IEC 42001)

The adoption of the ISO/IEC 42001 standard marks a global shift towards structured, auditable AI governance. Our audit is not merely a checklist; it's a deep dive into your entire AI lifecycle—from data acquisition to model deployment and monitoring. We focus specifically on high-risk systems to mitigate severe regulatory and ethical penalties.

ISO/IEC 42001: Verification of controls related to accountability, transparency, and data governance, aligned with Annex A requirements. EU AI Act Readiness: Evaluation of classification, documentation, human oversight, and mandatory risk management systems for high-risk AI. Sectoral Standards: Integration of specific regulatory needs (e.g., medical device directives, financial regulations).

Detailed Audit Phases (Aligned with PDCA Cycle)

Phase 1: Scope & Risk Planning (Plan)

We initiate the audit by precisely defining the scope of the AIMS, confirming the AI system context (Cl. 4) and establishing the AI policy (Cl. 5). This phase validates the application of the standard across the organization.

Verification of Scope Definition: Including the AI services and AI systems covered. Assessment of Risk Planning: Initial risk planning and AI Risk Assessment and Treatment (Cl. 6.1.2) methodology. Competence Mapping Review: Review of competence mapping and resource allocation (Cl. 7.2 & 7.3).

Phase 2: Implementation Review (Do)

A thorough review of all AIMS documentation is conducted off-site. We verify the existence, completeness, and maturity of policies required by the ISO standard and regulatory bodies. We look for evidence of operational planning (Cl. 8.1).

Assessment of data governance and controls implementation (Annex A controls A.5-A.8). Review of technical documentation, including model cards, training data logs, and AI Impact Assessments. Verification of controls in place for AI system lifecycle management (Cl. 8.2).

Phase 3: System Testing & Monitoring (Check)

This is the on-site verification phase. We move beyond paper trails to test the actual implementation of controls and verify the performance of the AIMS (Cl. 9).

Verification of ongoing monitoring, measurement, analysis, and evaluation (Cl. 9.1) processes. Technical validation of AI systems for performance, bias testing, and explainability. Review of the internal audit program (Cl. 9.2) and evidence of management review (Cl. 9.3).

Phase 4: Findings & Reporting (Act)

We consolidate all evidence into a detailed report, identifying non-conformities and opportunities for continual improvement (Cl. 10).

Generation of a comprehensive Audit Report detailing findings and non-conformities (minor vs. major). Formal statement of compliance status against the ISO/IEC 42001:2023 requirements. Identification of areas for continual improvement (Cl. 10.3).

Phase 5: Remediation and Certification

The final step where non-conformities are addressed, leading to the issuance of the official assurance statement.

Review of corrective actions implemented by the organization (Cl. 10.2). Issuance of the formal Statement of Conformity or Certification. Establishment of the surveillance audit schedule to maintain certification validity.

Key Outcomes: Why Certify?

Certification under ISO/IEC 42001 is a strategic investment that delivers tangible benefits across your organization.

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Market Trust

Demonstrable commitment to ethical AI and governance, strengthening customer and partner confidence globally.

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Risk Mitigation

Proactive reduction of legal exposure to emerging regulations (e.g., EU AI Act) and reputational damage from bias.

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Operational Clarity

Standardized processes for AI development (AIMS) lead to greater efficiency and less friction in deployment.

Ready to Secure Your AI Future?

Connect with our certification team to schedule your preliminary risk assessment today.