AI Governance Checklist

AI Governance Checklist

Use this checklist to establish strong governance over AI usage in your organization. It is designed to help companies reduce risks related to data security, compliance, ethics, and operational control.

1. AI Governance Framework

• [ ] Define and document an official AI usage policy
• [ ] Establish an AI Governance Committee (with Security, Legal, Compliance, and Business representatives)
• [ ] Create a clear approval process for new AI tools
• [ ] Define roles and responsibilities for AI oversight
• [ ] Set acceptable use guidelines for employees

2. Risk Assessment & Approval

• [ ] Conduct AI risk assessments before deploying any new tool
• [ ] Evaluate data sensitivity and potential impact of each AI system
• [ ] Maintain an inventory of all AI tools currently in use
• [ ] Classify AI tools by risk level (Low / Medium / High)
• [ ] Require formal approval before employees can use new AI platforms

3. Data Protection & Privacy

• [ ] Implement data classification rules for AI usage
• [ ] Enforce data masking or anonymization for sensitive information
• [ ] Prohibit uploading confidential or personal data to public AI tools
• [ ] Ensure AI vendors comply with GDPR, CCPA, or relevant regulations
• [ ] Define data retention and deletion policies for AI interactions

4. Security Controls

• [ ] Deploy an AI gateway or proxy to monitor and control AI access
• [ ] Enable logging of all AI prompts and outputs
• [ ] Implement access controls based on job roles
• [ ] Protect against prompt injection and model abuse
• [ ] Use enterprise versions of AI tools instead of consumer accounts

5. Monitoring & Auditing

• [ ] Maintain detailed audit logs of AI usage
• [ ] Conduct regular reviews of AI activity and outputs
• [ ] Perform periodic security assessments of approved AI tools
• [ ] Establish a process for detecting shadow AI (unauthorized tools)
• [ ] Review AI decisions that impact customers or employees

6. Training & Awareness

• [ ] Provide mandatory AI security and ethics training for all employees
• [ ] Educate staff on the risks of shadow AI and data leakage
• [ ] Include AI governance in onboarding programs
• [ ] Run regular awareness campaigns about safe AI practices

7. Vendor & Tool Management

• [ ] Maintain an approved AI tools list
• [ ] Review vendor security certifications (SOC 2, ISO 27001, etc.)
• [ ] Include AI-specific clauses in contracts (data usage, retention, liability)
• [ ] Establish a process for evaluating and onboarding new AI vendors

8. Incident Response & Compliance

• [ ] Create an AI-related incident response plan
• [ ] Define escalation procedures for AI misuse or data leaks
• [ ] Ensure AI systems can provide explanations for decisions (explainability)
• [ ] Schedule regular compliance audits focused on AI usage

Recommendation: Review this checklist quarterly and update it as new AI technologies and regulations emerge.