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What you need to know about conformity assessments under the EU AI Act
What are conformity assessments? Who’s responsible for them, and why do they matter? Learn more about these assessments and how they relate to your AI governance program
Lauren Diethelm
AI Content Marketing Specialist
November 20, 2023
The draft EU AI Act takes a precautionary and risk-based approach to AI, and to do this has laid out four different risk categories that AI systems can be sorted into. These risk categories are designed to protect the health, safety, and fundamental human rights of people coming into contact with AI systems.
Systems designed as high-risk aren’t banned from use, but they do have more requirements they need to meet before they can be deployed to the public, and one of those requirements is undergoing a conformity assessment (or CA).
Download the guide, developed in partnership with Future of Privacy Forum, here.
What is a conformity assessment?
Article 3 of the draft AI Act defines conformity assessments as the process of verifying and/or demonstrating that a high-risk system complies with certain requirements laid out in the Act. These requirements are:
- Risk management system
- Data governance
- Technical documentation
- Record keeping
- Transparency and provision of information
- Human oversight
- Accuracy, robustness, and cybersecurity
Providers of high-risk AI systems have to meet these requirements before their system can be put on the market, protecting individuals from the potential harms a high-risk system poses. CAs are key tools when it comes to accountability of high-risk systems, so understanding how and where they work will be equally key to your AI governance program.
Do I need to conduct a conformity assessment?
Whether or not you need to perform a CA depends on the answers to several questions. Here’s how you can determine if you do actually need to conduct a CA:
Firstly, do you fall under the jurisdiction of the AI Act? And is the system you're hoping to use actually considered an AI system by Article 3(1) in the Act? If not, you’re done – you don’t need to conduct a CA. Same for if your system isn’t considered a high-risk system; only systems categorized as high risk by the EU AI Act are required to undergo a conformity assessment.
Download the full infographic: EU AIA Conformity Assessment: A step-by-step guide
The other determining factor is your role in the system. If you’re the provider of the system or a responsible actor, then you are responsible for conducting the CA. Usually the provider and responsible actor will be the same party, but there are certain exceptions where the responsible actor is someone else.
Responsible actors may be a distributor, importer, deployer, or other third party that puts AI to use under their name or trademark. The exact legal requirements for if or when someone other than the provider would be required to perform the CA haven’t yet been set.
When should I do a conformity assessment?
Once you’ve determined that a CA is required, it becomes a matter of when. There is a correct timeline of when conformity assessments should be done:
- Ex ante (before the event): The CA has to be conducted before the AI system gets placed on the EU market – meaning before making it available for public use.
- Ex post (after the event): After a high-risk system has been placed on the market, a new CA is required when/if the system undergoes substantial modifications. It’s worth noting this doesn’t mean that as the system continues to learn (as models do) after being placed on the market; rather, it refers to any changes that would significantly affect the system’s compliance with the requirements measured by the CA.
Who actually conducts conformity assessments?
Conformity assessments can be conducted in two ways: either internally, or by a third-party process. As the names suggests, internal CAs are conducted by the provider (or the responsible actor) while third-party CAs are conducted by an external “notified body.”
Article 43 of the AI Act lays out more explicit guidance on which cases require an internal CA and which ones should go through a third-party process; you can also find more detailed steps for each process in this step-by-step guide.
Putting conformity with requirements for high-risk systems into practice
As mentioned earlier, CAs aim to verify that high-risk systems comply with all seven requirements – risk management, data governance, technical documentation, record keeping, transparency obligations, human oversight, and accuracy, robustness, and cybersecurity – laid out in the AI Act.
Unless specified otherwise, all these requirements should be met before the AI system is put into use or enters the market. Once the system is in use, the provider must also ensure continuous compliance throughout the system’s lifecycle.
When evaluating these requirements, the intended purpose of the use of the system needs to be taken into account, as does the reasonably foreseeable misuse of that system.
Use this guide to dive deeper into each of the different requirements and to see how compliance and implementation plays out for each of them.
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