EU-KI-Verordnung · Pflichten, Kontrollen, Nachweise

Was greift, wer es verantwortet, und der Test, der darüber entscheidet

Eine Einstufung, die „hoch riskant“ sagt und dort endet, sagt nichts Umsetzbares. Dies ist die Kette darunter: jede Vorschrift als Kontrolle, verantwortet von einer Rolle, getragen von einer SOP, belegt durch benannte Nachweise und entschieden durch einen Test.

Classification
Role played

Greifende Pflichten

Kontrollen, die halten

Geschrieben, nicht gebaut

Eine Richtlinie ohne technische Kontrolle ist ein Dokument.

Fehlgeschlagen oder abgelaufen

Eine Kontrolle, die niemand erneut geprüft hat, ist keine Kontrolle.

Provision and requirement	Control and SOP	Owner	Evidence	Test that decides it
Article 9 A risk-management system established, implemented, documented and maintained across the lifecycle.	Risks identified, assessed and mitigated before release, and re-assessed on material change. SOP: Assess and re-assess AI system risk	AI_RISK_LEAD	risk_register assessment_record review_date	A material change reopens the assessment before release.
Article 10 Training, validation and testing data subject to appropriate governance and quality criteria.	Data sources, lawful basis, quality checks and bias examination recorded per dataset. SOP: Qualify a dataset for AI use	DATA_OWNER	data_lineage lawful_basis bias_examination	Every dataset in use traces to a source and a lawful basis.
Article 11 Technical documentation drawn up before placing on the market and kept up to date.	A maintained system passport with version, purpose, architecture and limitations. SOP: Maintain the system passport	CTO	system_passport version_history	The documentation matches the version actually deployed.
Article 12 Automatic recording of events over the lifetime of the system.	Append-only logs sufficient to reconstruct a decision, retained and readable. SOP: Operate and retain AI event logs	CTO	log_sample retention_policy reconstruction_test	A past decision can be reconstructed from logs alone.
Article 13 Operation sufficiently transparent for deployers to interpret and use the output.	Instructions for use stating capability, limitations and required oversight. SOP: Issue and update instructions for use	PRODUCT_OWNER	instructions_for_use acknowledgement	A deployer can state the system's limitations from the documentation given.
Article 14 Designed to be effectively overseen by natural persons while in use.	A named qualified reviewer approves high-impact output, and can stop the system. SOP: Review and approve high-impact AI output	AI_RISK_LEAD	review_record approval_timestamp decision_trace	A high-impact action is blocked without an approval.
Article 15 An appropriate level of accuracy, robustness and cybersecurity.	An evaluation suite with declared metrics, run on release and on change. SOP: Run the AI evaluation suite	CTO	evaluation_results thresholds run_date	The declared metric is measured, not asserted.
Article 17 A quality-management system ensuring compliance.	Documented procedures, responsibilities and change control for AI systems. SOP: Govern AI change	CHANGE_LEAD	procedure_register change_log	A change reached production through the recorded route.
Article 26 Deployers use the system in accordance with the instructions and assign competent oversight.	Oversight assigned to a named competent role, with input data controlled. SOP: Operate a high-risk AI system	JOURNEY_OWNER	oversight_assignment competence_record	The named overseer exists, is competent and is available in operating hours.
Article 27 A fundamental-rights impact assessment, where applicable to the deployer.	Affected persons, risks to rights and mitigations recorded before use. SOP: Assess fundamental-rights impact	DPO	fria_record affected_persons	Affected persons are identified, not assumed.
Article 50 People are informed they are interacting with AI, and synthetic content is marked.	A disclosure notice designed, tested for visibility, and version-preserved. SOP: Design and preserve the AI disclosure notice	PRODUCT_OWNER	notice_wording visibility_test approved_version	A user sees the notice before interacting, in the tested position.
Article 73 Serious incidents reported to the market-surveillance authority.	An incident register with a defined route, owner and reporting clock. SOP: Detect, record and report a serious AI incident	AI_RISK_LEAD	incident_register report_record timestamps	A drill reaches the authority route inside the clock.
Article 72 A post-market monitoring system proportionate to the risk.	Drift, override rate, complaint volume and evidence expiry monitored on a cadence. SOP: Monitor an AI system in operation	PRODUCT_OWNER	monitoring_plan metric_history	The last monitoring run is inside the cadence.
Article 99 Information given to authorities and notified bodies is correct and complete.	No single-person unreviewed response; the submitted version is preserved verbatim. SOP: Respond to an authority request	LEGAL	request_record source_references submitted_version reviewers	Every material statement in a submission traces to a source record.

Article references follow the Regulation as commonly published and are given so a reader can find the provision. Check them against the Official Journal text before relying on them in a filing.

14 obligations in the library. Only those that attach to the selected classification and role are shown.

Stufe 4 · Govern → Stufe 5 · Prove

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Prove