Control A.3.3 – Reporting of Concerns

For AI governance to be effective, employees, users, and stakeholders must feel empowered to raise concerns when something doesn’t look right. ISO/IEC 42001 recognizes this need through Annex A Control A.3.3 – Reporting of Concerns, which ensures that organizations establish mechanisms to report, escalate, and address AI-related issues responsibly.

🔑 What This Control Means

This control requires organizations to:

Provide clear channels (e.g., hotlines, reporting tools, dedicated email, internal ticketing systems) for reporting AI-related concerns.
Protect reporters from retaliation, fostering a culture of openness.
Define escalation paths for handling reported issues, ensuring they reach the right governance bodies.
Track and document reports for accountability, audits, and lessons learned.
Respond in a timely manner, closing the loop with actions and feedback.

Concerns might include:

Bias or unfair outcomes in AI systems.
Security or privacy breaches involving AI.
Misuse of AI in ways that conflict with organizational values or laws.
Ethical dilemmas where AI decisions could cause harm.

✅ Why It Matters

Builds trust – Employees and customers feel their concerns will be heard and acted upon.
Strengthens compliance – Helps organizations meet legal and regulatory obligations around transparency and accountability.
Detects risks early – Small issues can be caught before they become incidents.
Promotes responsible AI – Encourages continuous improvement and ethical awareness across the organization.

📌 Implementation Tip

Establish anonymous reporting mechanisms to encourage honest feedback.
Train employees on what to report and how to report concerns.
Assign a central team or AI ethics committee to review and act on concerns.
Regularly analyze reports for patterns that could indicate systemic issues.
Communicate back to staff about how reports are being addressed—closing the loop is critical to sustaining trust.

By creating a safe and structured way to raise concerns, organizations reinforce accountability and ensure AI systems remain aligned with both ethical principles and compliance obligations.

In tomorrow’s article by Kimova.AI, we’ll explore Annex A Control A.4/B.4 Resources for AI Systems. We’ll discuss the importance of providing adequate resources, including competence, awareness, and infrastructure, to effectively manage and support AI systems.

Try Ask AIMS for Free