Assessment Coherence Warnings
- 1 MAJOR finding(s) reference procedures with PASS verdicts: AI-GRD.1. Findings may be stale or verdicts may need re-evaluation.
1. Executive Summary
82%
Overall Conformity
PASS
Gate Decision
139
Controls Passing
3
Open Findings
2. Article-Level Assessment
| Article | Title | Procedures | Conformity | Status |
|---|---|---|---|---|
| Art. 4 | AI Literacy | 1/1 | 100% | COMPLIANT |
| Art. 9 | Risk Management System | 1/1 | 100% | COMPLIANT |
| Art.9 | Risk Management System | 1/1 | 100% | COMPLIANT |
| Art.10 | Data and Data Governance | 1/1 | 100% | COMPLIANT |
| Art. 25 | Responsibilities Along the AI Value Chain | 1/1 | 100% | COMPLIANT |
| Art. 26 | Obligations of Deployers | 1/1 | 100% | COMPLIANT |
| Art. 49 | Registration | 0/1 | 0% | ACTION REQUIRED |
| Art.9(4) | Article 94 | 1/1 | 100% | COMPLIANT |
| Art.9(9) | Article 99 | 0/1 | 0% | ACTION REQUIRED |
| Art.13(3)(a) | Article 133 | 1/1 | 100% | COMPLIANT |
| Art.14(4)(c) | Article 144 | 1/1 | 100% | COMPLIANT |
3. Findings Summary
1
Major
1
Minor
1
Observation
| Severity | Procedure | Observation | Date |
|---|---|---|---|
| MAJOR | AI-GRD.1 | Guardrail policy document not found in system configuration. Required under Art. 9 risk management. System operates without documented content filtering or output validation rules. | 4/18/2026 |
| MINOR | AI-DATA.1 | Data lineage documentation is incomplete. Training data sources are listed but preprocessing steps and data quality metrics are not recorded. Partial coverage of Annex IV Section 2 requirements. | 4/18/2026 |
| OBSERVATION | AI-HITL.2 | Human override capability exists but has not been exercised in the past 30 days. Consider periodic drills to validate override effectiveness under Art. 14. | 4/18/2026 |
4. Technical Documentation Status (Annex IV)
0 of 15 sections complete
| # | Section | Status |
|---|---|---|
| 1 | General Description of the AI System | PARTIAL |
| 2 | Elements of Development & Development Process | PARTIAL |
| 3 | Monitoring, Functioning & Control | PARTIAL |
| 4 | Appropriateness of Performance Metrics | PARTIAL |
| 5 | Risk Management System (Art. 9) | PARTIAL |
| 6 | Changes Throughout Lifecycle | NOT STARTED |
| 7 | Harmonised Standards Applied | NOT STARTED |
| 8 | EU Declaration of Conformity | NOT STARTED |
| 9 | Post-Market Monitoring System (Art. 72) | PARTIAL |
| 10 | Logging System Description (Art. 12) | PARTIAL |
| 11 | Human Oversight Measures (Art. 14) | PARTIAL |
| 12 | Expected Lifetime & Maintenance | NOT STARTED |
| 13 | Accuracy, Robustness & Cybersecurity (Art. 15) | PARTIAL |
| 14 | Quality Management System (Art. 17) | NOT STARTED |
| 15 | Accessibility Requirements | NOT STARTED |
5. Corrective Actions
| Priority | Article | Procedure | Requirement |
|---|---|---|---|
| CRITICAL | Art.9(9) | AI-4.2 | Incident response - serious incident reporting |
| HIGH | Art. 49 | AI-GOV.3 | Before placing on the market or putting into service a high-risk AI system, the provider shall register in the EU databa |
Recommended Assessment Outcome
FAIL
1 major non-conformity found · Annex IV documentation 0/15 complete (threshold: 50%).
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