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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

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

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

significant source of obligations, were for the most part rules-based and prescriptive enforced by adherence audits In addition, we saw how effective compliance could enable organizations operate with greater confidence Where the Market Remains Yet most organizations (along with external auditors) are still entrenched in This contributes to why many who pass audits and achieve certifications seldom improve the object under Companies want tools that take away reactive pain—the scramble to respond to audit findings, the stress

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?”

Internal and external audits mostly focus on verifying conformance.

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

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

stakeholder trust, risk reduction, operational license; compliance waste (over-regulation, excessive auditing assessment-design-implementation-verification without batching (e.g., 5 days monthly monitoring vs 20-day annual audits operational processes to signal when going off-track, enabling real-time correction rather than periodic audit

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.

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

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