Generated by HAIEC Compliance Engine
Report ID: EUAIA-SR-2026-001
Notified Body: Not Applicable (Internal Assessment)
This conformity assessment report evaluates SmartRetail AI System's compliance with Regulation (EU) 2024/1689 (EU AI Act). The system has been classified as Limited Risk under Article 52 (transparency obligations). This assessment confirms conformity with all applicable requirements.
| Assessment Element | Status |
|---|---|
| Risk Classification | Limited Risk (Article 52) |
| Prohibited Practices (Article 5) | No prohibited practices identified |
| Transparency Obligations (Article 52) | Fully conformant |
| Technical Documentation | Complete |
| Overall Conformity | CONFORMANT |
Provider: SmartRetail Technologies GmbH (Germany)
System Name: SmartRetail AI Recommendation Engine v3.2
Intended Purpose: Provide personalized product recommendations to e-commerce customers based on browsing history, purchase patterns, and demographic data.
Deployment: EU-wide (Germany, France, Spain, Italy, Netherlands)
Users: Retail customers (B2C), approximately 2.3 million monthly active users
| Annex III Category | Applicable? | Justification |
|---|---|---|
| 1. Biometric identification | NO | System does not process biometric data |
| 2. Critical infrastructure | NO | E-commerce is not critical infrastructure |
| 3. Education/vocational training | NO | Not used for educational purposes |
| 4. Employment | NO | Not used for hiring or HR decisions |
| 5. Essential services | NO | Not used for creditworthiness or emergency services |
| 6. Law enforcement | NO | Not used for law enforcement |
| 7. Migration/asylum | NO | Not used for migration decisions |
| 8. Justice/democracy | NO | Not used for legal or democratic processes |
Conclusion: SmartRetail AI System does NOT qualify as high-risk under Annex III.
The system is classified as Limited Risk because it:
Applicable Obligations: Article 52 (Transparency obligations for certain AI systems)
Status: CONFORMANT
Assessment: System does not deploy subliminal techniques beyond a person's consciousness to materially distort behavior. Recommendations are clearly visible and user can opt out.
Status: CONFORMANT
Assessment: System does not exploit vulnerabilities related to age, disability, or socio-economic situation. No targeting of vulnerable groups. Parental controls available for minors.
Status: CONFORMANT
Assessment: System does not evaluate or classify natural persons based on social behavior or personal characteristics for purposes of social scoring.
Status: CONFORMANT
Assessment: System does not assess risk of criminal offenses based solely on profiling or personality traits.
Status: CONFORMANT
Evidence:
HAIEC Verification: Disclosure text reviewed, opt-out functionality tested, explanation feature validated.
Status: CONFORMANT
Evidence:
While full Annex IV documentation is not required for limited-risk systems, SmartRetail has voluntarily maintained comprehensive technical documentation:
| Documentation Element | Status |
|---|---|
| General description of AI system | Complete |
| Intended purpose and use cases | Complete |
| Training data description | Complete (anonymized customer data, 18M records) |
| Model architecture and algorithms | Complete (Transformer-based collaborative filtering) |
| Risk management measures | Complete (bias monitoring, fairness metrics) |
| Human oversight measures | Complete (manual review of flagged recommendations) |
| Accuracy, robustness, cybersecurity | Complete (95% accuracy, adversarial testing) |
Status: CONFORMANT (Voluntary)
Evidence:
Status: IMPLEMENTED (Voluntary)
Evidence:
| Metric | Target | Actual | Status |
|---|---|---|---|
| Recommendation Accuracy (Top-5) | ≥90% | 95.2% | PASS |
| Model Robustness (Adversarial) | ≥85% | 89.1% | PASS |
| Fairness (Demographic Parity) | ≤5% disparity | 3.2% disparity | PASS |
| Cybersecurity (Penetration Test) | No critical findings | 0 critical, 2 low | PASS |
Voluntary assessment conducted to evaluate impact on fundamental rights under EU Charter:
| Fundamental Right | Impact | Mitigation |
|---|---|---|
| Privacy (Article 7) | MINIMAL | GDPR compliance, data minimization, encryption |
| Non-discrimination (Article 21) | MINIMAL | Fairness monitoring, bias testing, no protected attributes |
| Consumer protection (Article 38) | MINIMAL | Transparency, opt-out, explanation feature |
SmartRetail Technologies GmbH declares that the SmartRetail AI Recommendation Engine v3.2 is in conformity with the applicable requirements of Regulation (EU) 2024/1689 (EU AI Act), specifically:
Provider Responsibility: SmartRetail Technologies GmbH assumes full responsibility for the conformity of this AI system with the EU AI Act.
Contact Point:
Dr. Anna Schmidt, Chief Compliance Officer
compliance@smartretail.de
+49 30 1234 5678
Report Hash (SHA-256):
d7f4c1e8b5a2f9c6e3b0d7f4a1c8e5b2d9f6a3c0e7b4d1f8a5c2e9b6d3f0a7c4
Signed By: HAIEC Compliance Engine v2.1.0
Signature Timestamp: 2026-02-16T17:45:00Z
Verification URL: https://haiec.com/verify/EUAIA-SR-2026-001