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compliance demands can be addressed by a single obligation: Commitment - ISO 9001:2015 (9.2) - Internal Auditing Requirement - OSHA 29 CFR 1910.119 (o) - Compliance Audits Commitment - OHSAS 18001 (4.5.2) - Evaluation This is more intentional than the audit-fix cycle which, as I have commented in a previous blog, is by

Substituting audit regimes with performance and risk-based compliance services has been slow although But we know this leads to same outcomes that we have always had; passing audits but not advancing compliance

To stay between-the-lines many choose to double down on audits and inspections. obligations requires more than training, following procedures, completing checklists and conducting audits A program that reduces waste, handles risk, and delivers compliance outcomes rather than only audit reports

The Governor General Auditor in 2019 reported, “How could Phoenix have failed so thoroughly in a system has a management accountability framework; risk management policies, program evaluations, internal audit groups, departmental audit committees; accounting officers; departmental plans; departmental performance reports; pay-per-performance compensation; and audits by The Office of the Auditor General?”

technologies, AI systems continuously learn and evolve, rendering traditional regulatory controls such as audits safety, security, sustainability, quality, etc.) consists of conducting point-in-time comprehensive audits governance including the associated systems of regulation lies not in simplistic warnings based on static audits

Improving the level of confidence is therefore an important objective which often involves conducting audits Measuring effectiveness of these capabilities is not something that traditional audit or assurance functions

They should be effective , independent , and auditable : Effective - A prevention barrier is described Auditable - Barriers should be capable of being audited to check that they work. formally, it could be These would include the ones for barriers: effective, independent, and auditable for similar reasons the extended list of attributes defined by CCPS: independence, functionality, integrity, reliability, auditability For those interested in learning more we have written additional articles on the topic of using bow ties

systems will notice that evaluation of outcomes is a form of performance assessment rather than an audit Assessments are usually conducted more frequently to measure the ability to achieve outcomes as opposed to audits important particularly when trying to maintain a status of compliance during the period between when audits In addition, each objective will require a set of capabilities (some shared) to meet all its criteria Objectives are more than gaps identified by audit findings.

After years under the tutelage of prescriptive rules and audits it is no wonder that the question of

have been following us will know that compliance needs to be more than just checking boxes and passing audits changed and that it needs to more like operations than simply a function that inspects and conducts audits

Conduct Regular AI Risk Audits Periodically assess your third parties’ compliance with your AI standards This can include requesting audit reports, conducting on-site evaluations, or leveraging AI assessment

A full evaluation of a management system will therefore include: Conformance Assessments (i.e. audits Audits are traditionally used to perform conformance assessments evaluated against a given standard. The purpose of the audit is to identify gaps against the standard that will need to remediated to achieve However, what audits do not do is tell you whether or not your compliance system is performing or effective They do all the work to pass an audit, the front-side of the exam, but fail to turn the page over to