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Governance Checklist for AI

Balancing Risk, Compliance, and Innovation

📂 Data Sources & Feeds

  • Validate all data sources for accuracy & legality.

  • Cleanse data before integration; remove bias & discriminatory content.

  • Approve datasets through an AI Governance Gatekeeper.

  • Apply privacy-by-design: anonymize, tokenize, or use synthetic data for regulated PII.

👤 Data Owners & Accountability

  • Assign Data Owners responsible for integrity & compliance.

  • Maintain data inventories & classifications aligned with privacy laws.

  • Document data lineage & retention schedules.

🔐 Data Integrity & Security

  • Implement controls for bias detection & mitigation (NIST fairness principle).

  • Secure data against unauthorized access; apply encryption & masking.

  • Monitor for adversarial attacks & model drift (NIST resilience principle).

⚖️ Compliance & Risk Management

  • Conduct AI Risk Assessments (AIDA required).

  • Perform Privacy Impact Assessments (aligned with privacy laws).

  • Maintain audit trails for AI decisions & data flows.

  • Align with AIDA disclosure requirements: purpose, risk mitigation, & monitoring plans.

📜 Policies & Procedures

  • Publish an AI Acceptable Use Policy (AUP).

  • Define escalation paths for ethical or compliance concerns.

  • Align governance with NIST AI RMF functions: Govern, Map, Measure, Manage.

♻️ Data Lifecycle Management

  • Track data retention & deletion (aligned with privacy laws).

  • Document demographics of data (Country/Jurisdictions or geographic jurisdictions) for cross-border compliance.

  • Apply lifecycle controls for generated content & metadata.

🔍 Transparency & Explainability

  • Provide clear documentation of AI models (purpose, limitations, training data).

  • Enable human oversight for high-impact decisions.

  • Communicate AI system summaries to stakeholders & regulators.

🎓 Training & Awareness

  • Mandatory AI ethics & privacy training for all staff.

  • Regular updates on regulatory changes & internal policies.

  • Communicate governance framework across front-office & back-office workflows.

A business-focused checklist aligned with NIST AI RMF 100-1, AIDA (proposed Canadian AI Law), & Canadian privacy laws (PIPEDA, Quebec Law 25, BC PIPA, Alberta PIPA).

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