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. |
📥 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.