AI Compliance Readiness Assessment
Evaluate organizational readiness for AI governance regulations and generate an actionable compliance roadmap.
When to Use
- Assessing AI compliance posture before an audit
- Preparing for EU AI Act (Aug 2026), HHS AI mandates, NIST AI RMF
- Building a governance roadmap for AI deployments
- Evaluating risk exposure from current AI usage
How to Use
When asked to assess AI compliance readiness, gather these inputs:
Required Inputs
- Industry (legal, healthcare, financial-services, insurance, construction, manufacturing, government, other)
- Company size (employees or revenue range)
- AI systems in use (list: chatbots, document review, fraud detection, hiring tools, customer service, analytics, other)
- Jurisdictions (US-only, EU-exposed, both, global)
Optional Inputs
- Current governance framework (if any)
- Upcoming audit dates
- Existing compliance certifications (SOC2, ISO 27001, HIPAA, etc.)
- Number of AI vendors/tools in use
Assessment Framework
Score each dimension 1-5 (1=no controls, 5=mature):
8 Dimensions
- Risk Classification — Have you categorized AI systems by risk level per EU AI Act / NIST?
- Documentation — Technical docs, model cards, data lineage for each AI system?
- Human Oversight — Defined human-in-the-loop processes for high-risk decisions?
- Bias & Fairness — Regular bias audits, fairness metrics, disparate impact testing?
- Data Governance — Training data provenance, consent, retention, and deletion policies?
- Incident Response — AI-specific incident playbook, reporting procedures, rollback plans?
- Vendor Management — AI vendor risk assessments, contractual AI governance requirements?
- Audit Trail — Logging, explainability, decision traceability for AI-assisted outputs?
Scoring
- 35-40: Compliance-ready — minor gaps to address
- 25-34: Partially prepared — significant work needed in specific areas
- 15-24: High risk — major gaps across multiple dimensions
- 8-14: Critical — immediate action required before any regulatory review
Output Format
Generate a report with:
- Executive Summary — Overall score, risk level, top 3 gaps
- Dimension Scores — Table with score, evidence, and gap description per dimension
- Regulatory Exposure — Which regulations apply and key deadlines:
- EU AI Act: Aug 2, 2026 (high-risk system requirements)
- HHS AI Transparency: April 3, 2026 (healthcare)
- NIST AI RMF: Ongoing (federal contractors + best practice)
- State bar AI rules: Varies (legal industry)