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organizational management where compliance is separated from the business—a parallel universe where auditors functional decomposition, job specialization, along with aligning around regulatory frameworks and audit When we stop treating compliance as an audit function and instead recognize it as the fundamental means

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

regulations they will not know what it’s like for compliance to be anything other than rules driven by audits Can you describe this in terms we understand using rules and audits?

either viewing compliance primarily through the lens of corporate compliance, focusing on training and audits AI compliance capabilities, then iteratively advancing monitoring tools, governance structures, and audit

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

This requires integration but not with traditional legal, audit, and compliance functions as some may Beyond Audits Towards Operational Compliance Gone are the days when legal departments and compliance However, Operational Compliance is not confined or defined by periodic audits and mandatory reporting

of capability maturity as attention is given to: Standard work Process consistency Inspections and audits Unfortunately, this tends to promote more inspections, audits, and corrective actions which is commonly referred to as the “audit-fix cycle.” However, there is a way for companies that have adopted this approach or caught in the audit-fix cycle

store and manage procedures, keep track of controls, and remind them when to get ready for their next audit

the reactivity of being buried by standards, frameworks, and controls focused on certifications and audits

While these may meet the letter of the law and pass audits they often do not benefit from exploiting Using standard (and fixed) checklists to drive activity Redoing assessments and verifying drawings Audit

Transparent : The logic is visible in the code and can be easily audited. Explainability When an AI system makes a decision, stakeholders—whether users, regulators, or auditors—need Engineering practices must include fairness checks, bias audits, and tools that help identify and mitigate

Action: Regularly review and update processes based on performance data, audit results, and stakeholder Utilize internal audits, performance metrics, and stakeholder expectations to drive the improvement process Collect relevant data from key processes (e.g., incident reports for ISO 45001, audit findings for ISO