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AI GRC
Implementation
Checklist
Educate. Excel. Empower.
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Section Checklist Item
Governance & Ethics
Comprehensive AI Policy Framework is de๏ฌned and enforced
Permissible and prohibited AI use cases are documented
Accountability for AI decisions is assigned
Ethical AI guidelines are developed and integrated into
work๏ฌ‚ows
Cross-functional AI leads are appointed across departments
Compliance & Legal Alignment
AI systems are reviewed against GDPR, CCPA, EU AI Act, HIPAA,
etc.
Mapping of applicable regulatory frameworks is completed
Universal opt-out signals and consent preferences are honoured
Transparent, accessible privacy policies are published
Data practices are clearly communicated to users
Risk Management
End-to-end AI risk assessments are conducted regularly
Risks related to bias, adversarial inputs, and privacy violations
are documented
Risk scoring methods are de๏ฌned and applied to AI systems
Dedicated AI Risk Management Program is established
Enterprise Risk Management is integrated with AI risk oversight
Privacy & Security by Design
Privacy by Design and Security by Design principles are
embedded in all AI development
Data minimization practices are enforced at every stage
PETs (Di๏ฌ€erential Privacy, Federated Learning, Synthetic Data)
are implemented
Consent is granular and revocable
Users are empowered to manage their own data
Data Governance & Provenance
Data governance policies are de๏ฌned and documented
Clear data inventories are maintained and updated regularly
Data provenance is tracked across all AI systems
AI datasets are vetted for bias, quality, and completeness
AI asset inventories are kept current
Security Architecture & Controls
Encryption is applied to data at rest and in transit
Role-based access controls (RBAC) are enforced
Real-time monitoring tools are deployed
Multi-factor authentication is enabled for access to AI systems
Patch management and network segmentation practices
are followed
Data masking/redaction is used in non-production environments
Threat modelling for AI is conducted
Monitoring, Audits & Response
AI models are continuously monitored for bias and data drift
AI audits are scheduled and logged
AI incident response plan is in place and tested
Logs of AI decisions are maintained and reviewable
Automated alerts are set for anomalous AI behaviour
Culture & Awareness
AI ethics and privacy training is conducted across roles
Awareness programs promote trust, privacy, and secure AI
practices
Security is promoted as a shared responsibility
Developers and data scientists are partners in compliance
Agile, iterative, and privacy-conscious development culture is
cultivated
Technology & Tools
PETs and compliance tools are integrated into DevOps work๏ฌ‚ows
Licensing agreements re๏ฌ‚ect transparency and data usage terms
Real-time insights into data pipelines and AI model behaviours
are available
Tools enable easy audit, traceability, and evidence capture
AI models are evaluated for adversarial robustness
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AI GRC Implementation Checklist-New.pdf

  • 1. AI GRC Implementation Checklist Educate. Excel. Empower. www.infosectrain.com
  • 2. Section Checklist Item Governance & Ethics Comprehensive AI Policy Framework is de๏ฌned and enforced Permissible and prohibited AI use cases are documented Accountability for AI decisions is assigned Ethical AI guidelines are developed and integrated into work๏ฌ‚ows Cross-functional AI leads are appointed across departments Compliance & Legal Alignment AI systems are reviewed against GDPR, CCPA, EU AI Act, HIPAA, etc. Mapping of applicable regulatory frameworks is completed Universal opt-out signals and consent preferences are honoured Transparent, accessible privacy policies are published Data practices are clearly communicated to users Risk Management End-to-end AI risk assessments are conducted regularly Risks related to bias, adversarial inputs, and privacy violations are documented Risk scoring methods are de๏ฌned and applied to AI systems Dedicated AI Risk Management Program is established Enterprise Risk Management is integrated with AI risk oversight Privacy & Security by Design Privacy by Design and Security by Design principles are embedded in all AI development Data minimization practices are enforced at every stage PETs (Di๏ฌ€erential Privacy, Federated Learning, Synthetic Data) are implemented Consent is granular and revocable Users are empowered to manage their own data Data Governance & Provenance Data governance policies are de๏ฌned and documented Clear data inventories are maintained and updated regularly Data provenance is tracked across all AI systems AI datasets are vetted for bias, quality, and completeness AI asset inventories are kept current Security Architecture & Controls Encryption is applied to data at rest and in transit Role-based access controls (RBAC) are enforced Real-time monitoring tools are deployed Multi-factor authentication is enabled for access to AI systems Patch management and network segmentation practices are followed Data masking/redaction is used in non-production environments Threat modelling for AI is conducted
  • 3. Monitoring, Audits & Response AI models are continuously monitored for bias and data drift AI audits are scheduled and logged AI incident response plan is in place and tested Logs of AI decisions are maintained and reviewable Automated alerts are set for anomalous AI behaviour Culture & Awareness AI ethics and privacy training is conducted across roles Awareness programs promote trust, privacy, and secure AI practices Security is promoted as a shared responsibility Developers and data scientists are partners in compliance Agile, iterative, and privacy-conscious development culture is cultivated Technology & Tools PETs and compliance tools are integrated into DevOps work๏ฌ‚ows Licensing agreements re๏ฌ‚ect transparency and data usage terms Real-time insights into data pipelines and AI model behaviours are available Tools enable easy audit, traceability, and evidence capture AI models are evaluated for adversarial robustness
  • 4. Educate. Excel. Empower. Found this useful? Get More Insights Through our FREE Courses | Webinars | eBooks | Whitepapers | Checklists | Mock Tests www.infosectrain.com