AI Governance Policy Checklist
A practical checklist for reviewing whether an organisation's AI governance policy covers the key areas needed for responsible AI use.
Governance ownership
Check that responsibility for AI governance is clearly assigned.
- A responsible person or role is identified.
- Management responsibility is clear.
- AI-related concerns can be escalated.
- Relevant responsibilities are communicated to employees.
AI governance policy
Check that the organisation has documented expectations for AI use.
- The purpose of the policy is defined.
- The scope of the policy is clear.
- Acceptable AI use is addressed.
- Restricted or unacceptable uses are addressed.
- Responsibilities are documented.
- Review and update requirements are defined.
AI use case approval
Check that significant AI use cases are subject to appropriate review.
- Significant AI use cases can be identified.
- An owner is assigned to each significant use case.
- Relevant risks are considered before approval.
- Approval authority is defined.
- Approval decisions are documented.
Management review
Check that AI governance is periodically reviewed rather than treated as a one-time exercise.
- A review frequency is defined.
- Changes in AI use are reviewed.
- Relevant incidents and issues are considered.
- Open actions are tracked.
- Review outcomes are recorded.
Evidence
Retain records that demonstrate how governance is operating in practice.
- Current policy version
- Approval records
- Review records
- Meeting or management minutes
- Governance action records
IMPLEMENT
Practical actions
- Use the checklist to review the current AI governance policy.
- Mark each item as established, partially established or requiring action.
- Assign an owner to outstanding actions.
- Record the date of the next governance review.
EVIDENCE
Evidence to prepare
- Completed policy checklist
- Current AI governance policy
- Action tracker
- Management review record
ASSESSMENT CONNECTION
Related assessment questions
This resource supports areas covered by the following AI Governance Assessment questions:
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Start Free AssessmentThese resources are provided for educational and planning purposes. They are not legal advice, an audit, a certification, or a determination of compliance. Organisations seeking ISO/IEC 42001 certification should work with an appropriately accredited certification body.