AI Audit Checklist
Prepare your organization for successful AI audits with this comprehensive checklist. Cover documentation, technical review, ethical assessment, and regulatory compliance in one place.
Start Guide1
Pre-Audit Preparation
Begin audit preparation weeks before your scheduled assessment:
Documentation
- Compile complete AI system inventory with descriptions
- Gather system architecture documentation
- Collect risk assessments and gap analysis
- Prepare governance policies and procedures
- Organize incident response records
- Assemble training records for team members
Readiness
- Verify all controls are functioning properly
- Test documentation accessibility and accuracy
- Conduct internal audit to identify gaps
- Brief team on audit procedures
- Designate audit coordinator
2
Documentation Review
Auditors will review extensive documentation. Ensure completeness:
- System design and architecture documents
- Data governance and management plans
- Model development and validation records
- Testing and evaluation reports
- Security assessments and threat models
- Bias evaluation and fairness reports
- Compliance mapping to regulations
- Incident logs and resolution records
- Change management procedures and logs
- Training records for team members
3
Technical Review and Demonstrations
Prepare for technical assessment of actual systems and controls:
- Verify model versioning and reproducibility
- Test access control implementations
- Demonstrate monitoring systems and logging
- Show audit trail and evidence collection
- Test incident response procedures
- Demonstrate anomaly detection systems
- Show model behavior on test cases
- Verify data quality assurance processes
- Demonstrate performance monitoring dashboards
4
Ethical and Fairness Assessment
Auditors evaluate ethical design and fairness:
- Document value alignment process and stakeholder input
- Prepare fairness testing reports across demographics
- Show bias mitigation techniques used
- Demonstrate explainability mechanisms
- Document oversight and human-in-the-loop processes
- Show user consent and transparency practices
- Provide ethical impact assessment
5
Audit Execution and Interviews
During the audit, be prepared for detailed discussions:
- Provide dedicated contacts for auditors
- Allocate time for stakeholder interviews (engineers, product, compliance, executives)
- Prepare for detailed questioning on design decisions
- Be ready to show system behavior and testing results
- Demonstrate understanding of risks and mitigations
- Provide evidence of continuous improvement
6
Remediation and Follow-up
After audit completion, manage the findings process:
- Review audit findings and recommendations carefully
- Develop remediation plan for identified gaps
- Prioritize remediation by severity and effort
- Assign ownership and target completion dates
- Track remediation progress weekly
- Verify completion of corrective actions
- Incorporate lessons learned into ongoing processes
- Schedule follow-up audit if significant findings exist
Get Expert Audit Support
Our audit specialists guide organizations through the entire audit process, from preparation through remediation. Let us help you achieve audit success.
Schedule Audit Support →