AI audit checklist

An AI audit checklist is a structured list of criteria and questions used to assess the safety, fairness, performance, and compliance of AI systems. It helps organizations evaluate AI models before deployment and during operations to catch risks early.

The checklist acts as a tool to enforce transparency and accountability across the AI lifecycle.

Why it matters

Auditing AI without a checklist is risky and inconsistent. A strong AI audit checklist ensures that no critical risks are overlooked. It helps organizations stay compliant with laws like the EU AI Act, NIST AI RMF, and ISO 42001, while building internal trust and external credibility.

Real world example

A healthcare startup develops an AI system to diagnose skin diseases. Before launching the product, they run through an AI audit checklist covering data bias, model explainability, and cybersecurity risks.

They identify a dataset imbalance issue and correct it before launch, preventing biased medical advice and potential regulatory penalties.

Best practices or key components

• Data quality and fairness checks: Review datasets for bias, diversity, labeling errors, and representativeness. Ask: Are all user groups fairly represented?

• Model transparency and explainability: Assess if the model’s predictions can be understood and explained to users and regulators. Ask: Can we explain how this decision was made?

• Performance evaluation: Validate model accuracy, precision, recall, and robustness across different datasets. Ask: How does the model perform under real-world conditions?

• Security and privacy controls: Check for vulnerabilities like data leakage, adversarial attacks, or weak encryption. Ask: Is user data protected end-to-end?

• Compliance alignment: Map the system against applicable laws like GDPR, the EU AI Act, or sector-specific guidelines. Ask: Are we meeting all legal obligations?

• Risk assessment and classification: Score AI systems by risk level (low, medium, high) and apply stricter audit measures for higher-risk models. Ask: What is the worst-case outcome if this model fails?

• Ongoing monitoring plan: Ensure there’s a plan for post-deployment monitoring to detect model drift or emerging risks. Ask: How will we know if the model's behavior changes over time?

• Accountability and documentation: Assign clear ownership for audit findings and remediation actions. Ask: Who is responsible for addressing risks?

• Bias and fairness testing: Regularly test models against different demographic groups to spot and correct hidden biases. Ask: Are outcomes equitable for all users?

• Human oversight and fallback plans: Ensure humans can intervene or override AI decisions when needed. Ask: Can a human step in if the AI fails?

FAQ

What is an AI audit checklist used for?

It’s used to systematically review and validate AI systems for fairness, safety, compliance, and performance before and after deployment.

Who should use an AI audit checklist?

AI developers, governance teams, compliance officers, external auditors, and risk managers all benefit from using the checklist.

How often should an AI audit be performed?

Audits should be performed at key stages: before deployment, after major model updates, and at regular intervals during production.

Where can I find sample AI audit checklists?

You can find detailed examples from organizations like the [NIST AI Risk Management Framework](/lexicon/nist-ai-risk-management-framework-rmf) and the OECD AI Principles .

Can smaller companies perform AI audits?

Yes. Even small organizations can run lightweight audits with simplified checklists tailored to their risk level and industry.