Compliance & Risk focuses on understanding and managing the legal and regulatory obligations that apply to your AI systems. This includes data protection laws (like GDPR), emerging AI-specific regulations (such as the EU AI Act), sector-specific rules (financial services, healthcare), and organisational risk management frameworks. It encompasses identifying which regulations apply, assessing risks through tools like Data Protection Impact Assessments (DPIAs), maintaining audit trails, and ensuring you can demonstrate compliance to regulators.
AI systems create unique compliance challenges because they process data in complex ways, make automated decisions, and can have significant impacts on individuals and society. This dimension assesses how well your organisation identifies, assesses, and manages AI-related compliance obligations and risks.
Why It Matters
Regulatory non-compliance can result in significant fines, reputational damage, and operational disruption.
Maturity Levels
| Basic | Standard | Advanced | Leading |
|---|---|---|---|
| No formal compliance mapping for AI; risks are not systematically identified or tracked. | Data Protection Impact Assessments (DPIAs) conducted for high-risk AI systems; basic audit trails in place. | Comprehensive incident response plans, due diligence processes, and regular compliance reviews. | Continuous compliance monitoring, transparency reporting, and proactive engagement with regulators. |
See This in Practice
🦺 AI Safety Monitoring
Shows CDM compliance integration: DPIA conducted for safety system, audit trails maintained, HSE regulatory requirements mapped, and incident response protocols aligned with construction regulations.
View case study →
Construction🌱 Net Zero Carbon Tracking
Demonstrates Net Zero compliance management: automated reporting aligned with UK government requirements, audit trails for carbon calculations, and compliance monitoring for regulatory submissions.
View case study →
Legal⚖️ Contract Review Assistant
Shows SRA compliance for AI in legal practice: client confidentiality maintained, professional indemnity coverage confirmed, ethics requirements met, and regulatory guidance on AI use followed.
View case study →
📥 Related Resources & Templates
Downloadable templates, examples, and frameworks to help you implement this dimension.
Audit Trail Documentation
Template for documenting AI system audit trails, tracking decisions, changes, and compliance evidence.
Compliance Register
PremiumSpreadsheet register for tracking AI-related compliance requirements, obligations, and evidence across regulations.
Data Protection Impact Assessment (DPIA)
PremiumDPIA template specifically designed for AI systems, covering data processing risks, mitigation measures, and GDPR compliance.
Legal Opinion Template
PremiumTemplate for documenting legal opinions on AI use cases, compliance requirements, and regulatory interpretations.