Compliance

Third-Party Audit

Independent evaluation of AI system compliance by an accredited external body rather than the provider itself.

Definition

Third-Party Audit refers to independent evaluation of an AI system's compliance with regulatory requirements conducted by an external body (typically a notified body) rather than the provider. It provides higher assurance than self-assessment.

EU AI Act Requirements: Third-party conformity assessment is mandatory for:

  • Remote biometric identification (Article 43(1)): Always requires notified body involvement
  • Non-harmonized areas: When provider doesn't follow harmonized standards or common specifications
  • Sectoral requirements: When underlying product legislation mandates third-party assessment

Notified Body Role (Articles 28-39):

  • Designated by EU Member States after accreditation
  • Must demonstrate technical competence, independence, impartiality
  • Reviews technical documentation and quality management system
  • May conduct testing and on-site inspections
  • Issues conformity assessment certificates

Assessment Procedures:

  • Type examination (Annex VII): Notified body examines technical design
  • Quality management (Annex VII): Notified body assesses and monitors QMS
  • Combination: Often both procedures are required

Related concepts: Notified Body, Conformity Assessment, Self-Assessment, Certification Body

Sources

  • EU AI Act Article 43(1)
  • NYC Local Law 144